From 0e72a8f29e5053d6939039ae23947e930c7aa1d1 Mon Sep 17 00:00:00 2001 From: Andrew Weiss Date: Mon, 18 Jun 2018 15:13:09 -0400 Subject: [PATCH] updated 800-53 catalog, declarations, and profile JSON examples --- ..._SP-800-53_rev4_HIGH-baseline_profile.json | 3431 + ...T_SP-800-53_rev4_LOW-baseline_profile.json | 2004 + ...800-53_rev4_MODERATE-baseline_profile.json | 3031 + .../SP800-53/NIST_SP-800-53_rev4_catalog.json | 147257 +++++++++++++++ .../NIST_SP-800-53_rev4_declarations.json | 177 + 5 files changed, 155900 insertions(+) create mode 100644 examples/SP800-53/NIST_SP-800-53_rev4_HIGH-baseline_profile.json create mode 100644 examples/SP800-53/NIST_SP-800-53_rev4_LOW-baseline_profile.json create mode 100644 examples/SP800-53/NIST_SP-800-53_rev4_MODERATE-baseline_profile.json create mode 100644 examples/SP800-53/NIST_SP-800-53_rev4_catalog.json create mode 100644 examples/SP800-53/NIST_SP-800-53_rev4_declarations.json diff --git a/examples/SP800-53/NIST_SP-800-53_rev4_HIGH-baseline_profile.json b/examples/SP800-53/NIST_SP-800-53_rev4_HIGH-baseline_profile.json new file mode 100644 index 0000000000..fff5052f7c --- /dev/null +++ b/examples/SP800-53/NIST_SP-800-53_rev4_HIGH-baseline_profile.json @@ -0,0 +1,3431 @@ +{ + "profile": { + "id": "uuid-599a7728-a154-4035-a556-1f03223120eb", + "title": "SP800-53 HIGH BASELINE IMPACT", + "imports": [ + { + "href": "NIST_SP-800-53_rev4_catalog.json", + "include": { + "calls": [ + { + "controlId": "ac-1" + }, + { + "controlId": "ac-2" + }, + { + "subcontrolId": "ac-2.1" + }, + { + "subcontrolId": "ac-2.2" + }, + { + "subcontrolId": "ac-2.3" + }, + { + "subcontrolId": "ac-2.4" + }, + { + "subcontrolId": "ac-2.5" + }, + { + "subcontrolId": "ac-2.11" + }, + { + "subcontrolId": "ac-2.12" + }, + { + "subcontrolId": "ac-2.13" + }, + { + "controlId": "ac-3" + }, + { + "controlId": "ac-4" + }, + { + "controlId": "ac-5" + }, + { + "controlId": "ac-6" + }, + { + "subcontrolId": "ac-6.1" + }, + { + "subcontrolId": "ac-6.2" + }, + { + "subcontrolId": "ac-6.3" + }, + { + "subcontrolId": "ac-6.5" + }, + { + "subcontrolId": "ac-6.9" + }, + { + "subcontrolId": "ac-6.10" + }, + { + "controlId": "ac-7" + }, + { + "controlId": "ac-8" + }, + { + "controlId": "ac-10" + }, + { + "controlId": "ac-11" + }, + { + "subcontrolId": "ac-11.1" + }, + { + "controlId": "ac-12" + }, + { + "controlId": "ac-14" + }, + { + "controlId": "ac-17" + }, + { + "subcontrolId": "ac-17.1" + }, + { + "subcontrolId": "ac-17.2" + }, + { + "subcontrolId": "ac-17.3" + }, + { + "subcontrolId": "ac-17.4" + }, + { + "controlId": "ac-18" + }, + { + "subcontrolId": "ac-18.1" + }, + { + "subcontrolId": "ac-18.4" + }, + { + "subcontrolId": "ac-18.5" + }, + { + "controlId": "ac-19" + }, + { + "subcontrolId": "ac-19.5" + }, + { + "controlId": "ac-20" + }, + { + "subcontrolId": "ac-20.1" + }, + { + "subcontrolId": "ac-20.2" + }, + { + "controlId": "ac-21" + }, + { + "controlId": "ac-22" + }, + { + "controlId": "at-1" + }, + { + "controlId": "at-2" + }, + { + "subcontrolId": "at-2.2" + }, + { + "controlId": "at-3" + }, + { + "controlId": "at-4" + }, + { + "controlId": "au-1" + }, + { + "controlId": "au-2" + }, + { + "subcontrolId": "au-2.3" + }, + { + "controlId": "au-3" + }, + { + "subcontrolId": "au-3.1" + }, + { + "subcontrolId": "au-3.2" + }, + { + "controlId": "au-4" + }, + { + "controlId": "au-5" + }, + { + "subcontrolId": "au-5.1" + }, + { + "subcontrolId": "au-5.2" + }, + { + "controlId": "au-6" + }, + { + "subcontrolId": "au-6.1" + }, + { + "subcontrolId": "au-6.3" + }, + { + "subcontrolId": "au-6.5" + }, + { + "subcontrolId": "au-6.6" + }, + { + "controlId": "au-7" + }, + { + "subcontrolId": "au-7.1" + }, + { + "controlId": "au-8" + }, + { + "subcontrolId": "au-8.1" + }, + { + "controlId": "au-9" + }, + { + "subcontrolId": "au-9.2" + }, + { + "subcontrolId": "au-9.3" + }, + { + "subcontrolId": "au-9.4" + }, + { + "controlId": "au-10" + }, + { + "controlId": "au-11" + }, + { + "controlId": "au-12" + }, + { + "subcontrolId": "au-12.1" + }, + { + "subcontrolId": "au-12.3" + }, + { + "controlId": "ca-1" + }, + { + "controlId": "ca-2" + }, + { + "subcontrolId": "ca-2.1" + }, + { + "subcontrolId": "ca-2.2" + }, + { + "controlId": "ca-3" + }, + { + "subcontrolId": "ca-3.5" + }, + { + "controlId": "ca-5" + }, + { + "controlId": "ca-6" + }, + { + "controlId": "ca-7" + }, + { + "subcontrolId": "ca-7.1" + }, + { + "controlId": "ca-8" + }, + { + "controlId": "ca-9" + }, + { + "controlId": "cm-1" + }, + { + "controlId": "cm-2" + }, + { + "subcontrolId": "cm-2.1" + }, + { + "subcontrolId": "cm-2.2" + }, + { + "subcontrolId": "cm-2.3" + }, + { + "subcontrolId": "cm-2.7" + }, + { + "controlId": "cm-3" + }, + { + "subcontrolId": "cm-3.1" + }, + { + "subcontrolId": "cm-3.2" + }, + { + "controlId": "cm-4" + }, + { + "subcontrolId": "cm-4.1" + }, + { + "controlId": "cm-5" + }, + { + "subcontrolId": "cm-5.1" + }, + { + "subcontrolId": "cm-5.2" + }, + { + "subcontrolId": 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newline at end of file diff --git a/examples/SP800-53/NIST_SP-800-53_rev4_MODERATE-baseline_profile.json b/examples/SP800-53/NIST_SP-800-53_rev4_MODERATE-baseline_profile.json new file mode 100644 index 0000000000..26328abde3 --- /dev/null +++ b/examples/SP800-53/NIST_SP-800-53_rev4_MODERATE-baseline_profile.json @@ -0,0 +1,3031 @@ +{ + "profile": { + "id": "uuid-ad080a41-8219-4dcf-8140-2e8c2163b0c9", + "title": "SP800-53 MODERATE BASELINE IMPACT", + "imports": [ + { + "href": "NIST_SP-800-53_rev4_catalog.json", + "include": { + "calls": [ + { + "controlId": "ac-1" + }, + { + "controlId": "ac-2" + }, + { + "subcontrolId": "ac-2.1" + }, + { + "subcontrolId": "ac-2.2" + }, + { + "subcontrolId": "ac-2.3" + }, + { + "subcontrolId": "ac-2.4" + }, + { + "controlId": "ac-3" + }, + { + "controlId": "ac-4" + }, + { + "controlId": "ac-5" + }, + { + "controlId": "ac-6" + }, + { + "subcontrolId": "ac-6.1" + }, + { + "subcontrolId": "ac-6.2" + }, + { + "subcontrolId": "ac-6.5" + }, + { + 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The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)" + } + ], + "parts": [ + { + "id": "ac-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents an access control policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "ac-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "ac-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "ac-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "ac-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "ac-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "ac-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the access control policy are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "ac-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the access control policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)" + } + ], + "parts": [ + { + "id": "ac-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the access control policy and associated access control controls;\u003c/p\u003e" + ] + }, + { + "id": "ac-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "ac-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(b)(1)" + } + ], + "parts": [ + { + "id": "ac-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current access control policy;\u003c/p\u003e" + ] + }, + { + "id": "ac-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current access control policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(b)(2)" + } + ], + "parts": [ + { + "id": "ac-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current access control procedures; and\u003c/p\u003e" + ] + }, + { + "id": "ac-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current access control procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ac-2", + "class": "SP800-53", + "title": "Account Management", + "params": [ + { + "id": "ac-2_prm_1", + "label": "organization-defined information system account types" + }, + { + "id": "ac-2_prm_2", + "label": "organization-defined personnel or roles" + }, + { + "id": "ac-2_prm_3", + "label": "organization-defined procedures or conditions" + }, + { + "id": "ac-2_prm_4", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2a." + } + ], + "prose": [ + "\u003cp\u003eIdentifies and selects the following types of information system accounts to support organizational missions/business functions: \u003cinsert param-id=\"ac-2_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2b." + } + ], + "prose": [ + "\u003cp\u003eAssigns account managers for information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2c." + } + ], + "prose": [ + "\u003cp\u003eEstablishes conditions for group and role membership;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2d." + } + ], + "prose": [ + "\u003cp\u003eSpecifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2e." + } + ], + "prose": [ + "\u003cp\u003eRequires approvals by \u003cinsert param-id=\"ac-2_prm_2\"/\u003e for requests to create information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_smt_f", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2f." + } + ], + "prose": [ + "\u003cp\u003eCreates, enables, modifies, disables, and removes information system accounts in accordance with \u003cinsert param-id=\"ac-2_prm_3\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_smt_g", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2g." + } + ], + "prose": [ + "\u003cp\u003eMonitors the use of information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_smt_h", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2h." + } + ], + "prose": [ + "\u003cp\u003eNotifies account managers:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2_smt_h.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2h.1." + } + ], + "prose": [ + "\u003cp\u003eWhen accounts are no longer required;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_smt_h.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2h.2." + } + ], + "prose": [ + "\u003cp\u003eWhen users are terminated or transferred; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2_smt_h.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2h.3." + } + ], + "prose": [ + "\u003cp\u003eWhen individual information system usage or need-to-know changes;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-2_smt_i", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2i." + } + ], + "prose": [ + "\u003cp\u003eAuthorizes access to the information system based on:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2_smt_i.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2i.1." + } + ], + "prose": [ + "\u003cp\u003eA valid access authorization;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_smt_i.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2i.2." + } + ], + "prose": [ + "\u003cp\u003eIntended system usage; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2_smt_i.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2i.3." + } + ], + "prose": [ + "\u003cp\u003eOther attributes as required by the organization or associated missions/business functions;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-2_smt_j", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2j." + } + ], + "prose": [ + "\u003cp\u003eReviews accounts for compliance with account management requirements \u003cinsert param-id=\"ac-2_prm_4\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2_smt_k", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2k." + } + ], + "prose": [ + "\u003cp\u003eEstablishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#ac-5" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#ac-10" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#ac-20" + }, + { + "rel": "related", + "href": "#au-9" + }, + { + "rel": "related", + "href": "#ia-2" + }, + { + "rel": "related", + "href": "#ia-4" + }, + { + "rel": "related", + "href": "#ia-5" + }, + { + "rel": "related", + "href": "#ia-8" + }, + { + "rel": "related", + "href": "#cm-5" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#cm-11" + }, + { + "rel": "related", + "href": "#ma-3" + }, + { + "rel": "related", + "href": "#ma-4" + }, + { + "rel": "related", + "href": "#ma-5" + }, + { + "rel": "related", + "href": "#pl-4" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(a)" + } + ], + "parts": [ + { + "id": "ac-2_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system account types to be identified and selected to support organizational missions/business functions;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eidentifies and selects organization-defined information system account types to support organizational missions/business functions;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-2_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(b)" + } + ], + "prose": [ + "\u003cp\u003eassigns account managers for information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(c)" + } + ], + "prose": [ + "\u003cp\u003eestablishes conditions for group and role membership;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(d)" + } + ], + "prose": [ + "\u003cp\u003especifies for each account (as required):\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(d)[1]" + } + ], + "prose": [ + "\u003cp\u003eauthorized users of the information system;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(d)[2]" + } + ], + "prose": [ + "\u003cp\u003egroup and role membership;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_d.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(d)[3]" + } + ], + "prose": [ + "\u003cp\u003eaccess authorizations (i.e., privileges);\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_d.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(d)[4]" + } + ], + "prose": [ + "\u003cp\u003eother attributes;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-2_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(e)" + } + ], + "parts": [ + { + "id": "ac-2_obj_e.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(e)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles required to approve requests to create information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_e.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(e)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires approvals by organization-defined personnel or roles for requests to create information system accounts;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-2_obj_f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(f)" + } + ], + "parts": [ + { + "id": "ac-2_obj_f.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(f)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines procedures or conditions to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2_obj_f.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][a]" + } + ], + "prose": [ + "\u003cp\u003ecreate information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_f.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][b]" + } + ], + "prose": [ + "\u003cp\u003eenable information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_f.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][c]" + } + ], + "prose": [ + "\u003cp\u003emodify information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_f.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][d]" + } + ], + "prose": [ + "\u003cp\u003edisable information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_f.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(f)[1][e]" + } + ], + "prose": [ + "\u003cp\u003eremove information system accounts;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-2_obj_f.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(f)[2]" + } + ], + "prose": [ + "\u003cp\u003ein accordance with organization-defined procedures or conditions:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2_obj_f.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ecreates information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_f.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eenables information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_f.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][c]" + } + ], + "prose": [ + "\u003cp\u003emodifies information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_f.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][d]" + } + ], + "prose": [ + "\u003cp\u003edisables information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_f.2.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(f)[2][e]" + } + ], + "prose": [ + "\u003cp\u003eremoves information system accounts;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-2_obj_g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(g)" + } + ], + "prose": [ + "\u003cp\u003emonitors the use of information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_h", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(h)" + } + ], + "prose": [ + "\u003cp\u003enotifies account managers:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2_obj_h.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(h)(1)" + } + ], + "prose": [ + "\u003cp\u003ewhen accounts are no longer required;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_h.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(h)(2)" + } + ], + "prose": [ + "\u003cp\u003ewhen users are terminated or transferred;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_h.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(h)(3)" + } + ], + "prose": [ + "\u003cp\u003ewhen individual information system usage or need to know changes;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-2_obj_i", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(i)" + } + ], + "prose": [ + "\u003cp\u003eauthorizes access to the information system based on;\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2_obj_i.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(i)(1)" + } + ], + "prose": [ + "\u003cp\u003ea valid access authorization;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_i.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(i)(2)" + } + ], + "prose": [ + "\u003cp\u003eintended system usage;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_i.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(i)(3)" + } + ], + "prose": [ + "\u003cp\u003eother attributes as required by the organization or associated missions/business functions;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-2_obj_j", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(j)" + } + ], + "parts": [ + { + "id": "ac-2_obj_j.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(j)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review accounts for compliance with account management requirements;\u003c/p\u003e" + ] + }, + { + "id": "ac-2_obj_j.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(j)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews accounts for compliance with account management requirements with the organization-defined frequency; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-2_obj_k", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(k)" + } + ], + "prose": [ + "\u003cp\u003eestablishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of active system accounts along with the name of the individual associated with each account\u003c/p\u003e", + "\u003cp\u003elist of conditions for group and role membership\u003c/p\u003e", + "\u003cp\u003enotifications or records of recently transferred, separated, or terminated employees\u003c/p\u003e", + "\u003cp\u003elist of recently disabled information system accounts along with the name of the individual associated with each account\u003c/p\u003e", + "\u003cp\u003eaccess authorization records\u003c/p\u003e", + "\u003cp\u003eaccount management compliance reviews\u003c/p\u003e", + "\u003cp\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes account management on the information system\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for implementing account management\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-2.1", + "class": "SP800-53-enhancement", + "title": "Automated System Account Management", + "props": [ + { + "class": "name", + "value": "AC-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to support the management of information system accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to support the management of information system accounts.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-2.2", + "class": "SP800-53-enhancement", + "title": "Removal of Temporary / Emergency Accounts", + "params": [ + { + "id": "ac-2.2_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "removes" + }, + { + "assignments": null, + "Value": "disables" + } + ] + } + }, + { + "id": "ac-2.2_prm_2", + "label": "organization-defined time period for each type of account" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system automatically \u003cinsert param-id=\"ac-2.2_prm_1\"/\u003e temporary and emergency accounts after \u003cinsert param-id=\"ac-2.2_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the time period after which the information system automatically removes or disables temporary and emergency accounts; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system automatically removes or disables temporary and emergency accounts after the organization-defined time period for each type of account.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system-generated list of temporary accounts removed and/or disabled\u003c/p\u003e", + "\u003cp\u003einformation system-generated list of emergency accounts removed and/or disabled\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-2.3", + "class": "SP800-53-enhancement", + "title": "Disable Inactive Accounts", + "params": [ + { + "id": "ac-2.3_prm_1", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system automatically disables inactive accounts after \u003cinsert param-id=\"ac-2.3_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(3)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the time period after which the information system automatically disables inactive accounts; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system automatically disables inactive accounts after the organization-defined time period.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system-generated list of temporary accounts removed and/or disabled\u003c/p\u003e", + "\u003cp\u003einformation system-generated list of emergency accounts removed and/or disabled\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-2.4", + "class": "SP800-53-enhancement", + "title": "Automated Audit Actions", + "params": [ + { + "id": "ac-2.4_prm_1", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies \u003cinsert param-id=\"ac-2.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe information system automatically audits the following account actions:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.4_obj_4.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][a]" + } + ], + "prose": [ + "\u003cp\u003ecreation;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.4_obj_4.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][b]" + } + ], + "prose": [ + "\u003cp\u003emodification;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.4_obj_4.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eenabling;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.4_obj_4.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][d]" + } + ], + "prose": [ + "\u003cp\u003edisabling;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.4_obj_4.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[1][e]" + } + ], + "prose": [ + "\u003cp\u003eremoval;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-2.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines personnel or roles to be notified of the following account actions:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.4_obj_4.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ecreation;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.4_obj_4.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][b]" + } + ], + "prose": [ + "\u003cp\u003emodification;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.4_obj_4.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][c]" + } + ], + "prose": [ + "\u003cp\u003eenabling;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.4_obj_4.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][d]" + } + ], + "prose": [ + "\u003cp\u003edisabling;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.4_obj_4.2.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[2][e]" + } + ], + "prose": [ + "\u003cp\u003eremoval;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-2.4_obj_4.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system notifies organization-defined personnel or roles of the following account actions:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.4_obj_4.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][a]" + } + ], + "prose": [ + "\u003cp\u003ecreation;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.4_obj_4.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][b]" + } + ], + "prose": [ + "\u003cp\u003emodification;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.4_obj_4.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][c]" + } + ], + "prose": [ + "\u003cp\u003eenabling;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.4_obj_4.3.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][d]" + } + ], + "prose": [ + "\u003cp\u003edisabling; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2.4_obj_4.3.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(4)[3][e]" + } + ], + "prose": [ + "\u003cp\u003eremoval.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003enotifications/alerts of account creation, modification, enabling, disabling, and removal actions\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-2.5", + "class": "SP800-53-enhancement", + "title": "Inactivity Logout", + "params": [ + { + "id": "ac-2.5_prm_1", + "label": "organization-defined time-period of expected inactivity or description of when to log out" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires that users log out when \u003cinsert param-id=\"ac-2.5_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#sc-23" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines either the time period of expected inactivity that requires users to log out or the description of when users are required to log out; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(5)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires that users log out when the organization-defined time period of inactivity is reached or in accordance with organization-defined description of when to log out.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity violation reports\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eusers that must comply with inactivity logout policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-2.6", + "class": "SP800-53-enhancement", + "title": "Dynamic Privilege Management", + "params": [ + { + "id": "ac-2.6_prm_1", + "label": "organization-defined list of dynamic privilege management capabilities" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements the following dynamic privilege management capabilities: \u003cinsert param-id=\"ac-2.6_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn contrast to conventional access control approaches which employ static information system accounts and predefined sets of user privileges, dynamic access control approaches (e.g., service-oriented architectures) rely on run time access control decisions facilitated by dynamic privilege management. While user identities may remain relatively constant over time, user privileges may change more frequently based on ongoing mission/business requirements and operational needs of organizations. Dynamic privilege management can include, for example, the immediate revocation of privileges from users, as opposed to requiring that users terminate and restart their sessions to reflect any changes in privileges. Dynamic privilege management can also refer to mechanisms that change the privileges of users based on dynamic rules as opposed to editing specific user profiles. This type of privilege management includes, for example, automatic adjustments of privileges if users are operating out of their normal work times, or if information systems are under duress or in emergency maintenance situations. This control enhancement also includes the ancillary effects of privilege changes, for example, the potential changes to encryption keys used for communications. Dynamic privilege management can support requirements for information system resiliency.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.6_obj_6.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(6)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines a list of dynamic privilege management capabilities to be implemented by the information system; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2.6_obj_6.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(6)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements the organization-defined list of dynamic privilege management capabilities.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esystem-generated list of dynamic privilege management capabilities\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system implementing dynamic privilege management capabilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-2.7", + "class": "SP800-53-enhancement", + "title": "Role-based Schemes", + "params": [ + { + "id": "ac-2.7_prm_1", + "label": "organization-defined actions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.7_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2 (7)(a)" + } + ], + "prose": [ + "\u003cp\u003eEstablishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.7_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2 (7)(b)" + } + ], + "prose": [ + "\u003cp\u003eMonitors privileged role assignments; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2.7_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2 (7)(c)" + } + ], + "prose": [ + "\u003cp\u003eTakes \u003cinsert param-id=\"ac-2.7_prm_1\"/\u003e when privileged role assignments are no longer appropriate.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.7_obj_7.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(7)(a)" + } + ], + "prose": [ + "\u003cp\u003eestablishes and administers privileged user accounts in accordance with a role-based access scheme that organizes allowed information system access and privileges into roles;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.7_obj_7.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(7)(b)" + } + ], + "prose": [ + "\u003cp\u003emonitors privileged role assignments;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.7_obj_7.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(7)(c)" + } + ], + "parts": [ + { + "id": "ac-2.7_obj_7.c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(7)(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines actions to be taken when privileged role assignments are no longer appropriate; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2.7_obj_7.c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(7)(c)[2]" + } + ], + "prose": [ + "\u003cp\u003etakes organization-defined actions when privileged role assignments are no longer appropriate.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system-generated list of privileged user accounts and associated role\u003c/p\u003e", + "\u003cp\u003erecords of actions taken when privileged role assignments are no longer appropriate\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eaudit tracking and monitoring reports\u003c/p\u003e", + "\u003cp\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms monitoring privileged role assignments\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-2.8", + "class": "SP800-53-enhancement", + "title": "Dynamic Account Creation", + "params": [ + { + "id": "ac-2.8_prm_1", + "label": "organization-defined information system accounts" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system creates \u003cinsert param-id=\"ac-2.8_prm_1\"/\u003e dynamically.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic approaches for creating information system accounts (e.g., as implemented within service-oriented architectures) rely on establishing accounts (identities) at run time for entities that were previously unknown. Organizations plan for dynamic creation of information system accounts by establishing trust relationships and mechanisms with the appropriate authorities to validate related authorizations and privileges.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.8_obj_8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(8)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information system accounts to be created by the information system dynamically; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2.8_obj_8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(8)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system creates organization-defined information system accounts dynamically.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esystem-generated list of information system accounts\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-2.9", + "class": "SP800-53-enhancement", + "title": "Restrictions On Use of Shared / Group Accounts", + "params": [ + { + "id": "ac-2.9_prm_1", + "label": "organization-defined conditions for establishing shared/group accounts" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization only permits the use of shared/group accounts that meet \u003cinsert param-id=\"ac-2.9_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.9_obj_9.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(9)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines conditions for establishing shared/group accounts; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2.9_obj_9.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(9)[2]" + } + ], + "prose": [ + "\u003cp\u003eonly permits the use of shared/group accounts that meet organization-defined conditions for establishing shared/group accounts.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esystem-generated list of shared/group accounts and associated role\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing management of shared/group accounts\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-2.10", + "class": "SP800-53-enhancement", + "title": "Shared / Group Account Credential Termination", + "props": [ + { + "class": "name", + "value": "AC-2 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system terminates shared/group account credentials when members leave the group.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system terminates shared/group account credentials when members leave the group.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eaccount access termination records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-2.11", + "class": "SP800-53-enhancement", + "title": "Usage Conditions", + "params": [ + { + "id": "ac-2.11_prm_1", + "label": "organization-defined circumstances and/or usage conditions" + }, + { + "id": "ac-2.11_prm_2", + "label": "organization-defined information system accounts" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces \u003cinsert param-id=\"ac-2.11_prm_1\"/\u003e for \u003cinsert param-id=\"ac-2.11_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can describe the specific conditions or circumstances under which information system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.11_obj_11.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(11)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines circumstances and/or usage conditions to be enforced for information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.11_obj_11.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(11)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information system accounts for which organization-defined circumstances and/or usage conditions are to be enforced; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2.11_obj_11.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(11)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces organization-defined circumstances and/or usage conditions for organization-defined information system accounts.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esystem-generated list of information system accounts and associated assignments of usage circumstances and/or usage conditions\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-2.12", + "class": "SP800-53-enhancement", + "title": "Account Monitoring / Atypical Usage", + "params": [ + { + "id": "ac-2.12_prm_1", + "label": "organization-defined atypical usage" + }, + { + "id": "ac-2.12_prm_2", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.12_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2 (12)(a)" + } + ], + "prose": [ + "\u003cp\u003eMonitors information system accounts for \u003cinsert param-id=\"ac-2.12_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2.12_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-2 (12)(b)" + } + ], + "prose": [ + "\u003cp\u003eReports atypical usage of information system accounts to \u003cinsert param-id=\"ac-2.12_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAtypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.12_obj_12.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(12)(a)" + } + ], + "parts": [ + { + "id": "ac-2.12_obj_12.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(12)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines atypical usage to be monitored for information system accounts;\u003c/p\u003e" + ] + }, + { + "id": "ac-2.12_obj_12.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(12)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003emonitors information system accounts for organization-defined atypical usage;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-2.12_obj_12.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(12)(b)" + } + ], + "parts": [ + { + "id": "ac-2.12_obj_12.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(12)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom atypical usage of information system accounts are to be reported; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2.12_obj_12.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(12)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ereports atypical usage of information system accounts to organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eaudit tracking and monitoring reports\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-2.13", + "class": "SP800-53-enhancement", + "title": "Disable Accounts for High-risk Individuals", + "params": [ + { + "id": "ac-2.13_prm_1", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "AC-2 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization disables accounts of users posing a significant risk within \u003cinsert param-id=\"ac-2.13_prm_1\"/\u003e of discovery of the risk.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUsers posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to information systems to cause harm or through whom adversaries will cause harm. Harm includes potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination between authorizing officials, information system administrators, and human resource managers is essential in order for timely execution of this control enhancement.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ps-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-2.13_obj_13.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(13)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period within which accounts are disabled upon discovery of a significant risk posed by users of such accounts; and\u003c/p\u003e" + ] + }, + { + "id": "ac-2.13_obj_13.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-2(13)[2]" + } + ], + "prose": [ + "\u003cp\u003edisables accounts of users posing a significant risk within the organization-defined time period of discovery of the risk.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esystem-generated list of disabled accounts\u003c/p\u003e", + "\u003cp\u003elist of user activities posing significant organizational risk\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing account management functions\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ac-3", + "class": "SP800-53", + "title": "Access Enforcement", + "props": [ + { + "class": "name", + "value": "AC-3" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAccess control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#ac-5" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#ac-16" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#ac-20" + }, + { + "rel": "related", + "href": "#ac-21" + }, + { + "rel": "related", + "href": "#ac-22" + }, + { + "rel": "related", + "href": "#au-9" + }, + { + "rel": "related", + "href": "#cm-5" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#cm-11" + }, + { + "rel": "related", + "href": "#ma-3" + }, + { + "rel": "related", + "href": "#ma-4" + }, + { + "rel": "related", + "href": "#ma-5" + }, + { + "rel": "related", + "href": "#pe-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of approved authorizations (user privileges)\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access control policy\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-3.1", + "class": "SP800-53-enhancement", + "title": "Restricted Access to Privileged Functions", + "links": [ + { + "rel": "related", + "href": "#ac-6" + } + ], + "props": [ + { + "class": "name", + "value": "AC-3 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into AC-6\u003c/i\u003e \u003ci\u003eIncorporated into AC-6\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-3.2", + "class": "SP800-53-enhancement", + "title": "Dual Authorization", + "params": [ + { + "id": "ac-3.2_prm_1", + "label": "organization-defined privileged commands and/or other organization-defined actions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces dual authorization for \u003cinsert param-id=\"ac-3.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDual authorization mechanisms require the approval of two authorized individuals in order to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-9" + }, + { + "rel": "related", + "href": "#mp-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines privileged commands and/or other actions for which dual authorization is to be enforced; and\u003c/p\u003e" + ] + }, + { + "id": "ac-3.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces dual authorization for organization-defined privileged commands and/or other organization-defined actions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access enforcement and dual authorization\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of privileged commands requiring dual authorization\u003c/p\u003e", + "\u003cp\u003elist of actions requiring dual authorization\u003c/p\u003e", + "\u003cp\u003elist of approved authorizations (user privileges)\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eDual authorization mechanisms implementing access control policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-3.3", + "class": "SP800-53-enhancement", + "title": "Mandatory Access Control", + "params": [ + { + "id": "ac-3.3_prm_1", + "label": "organization-defined mandatory access control policy" + }, + { + "id": "ac-3.3_prm_2", + "label": "organization-defined subjects" + }, + { + "id": "ac-3.3_prm_3", + "label": "organization-defined privileges (i.e., they are trusted subjects)" + } + ], + "props": [ + { + "class": "name", + "value": "AC-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces \u003cinsert param-id=\"ac-3.3_prm_1\"/\u003e over all subjects and objects where the policy:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (3)(a)" + } + ], + "prose": [ + "\u003cp\u003eIs uniformly enforced across all subjects and objects within the boundary of the information system;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)" + } + ], + "prose": [ + "\u003cp\u003eSpecifies that a subject that has been granted access to information is constrained from doing any of the following;\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.3_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(1)" + } + ], + "prose": [ + "\u003cp\u003ePassing the information to unauthorized subjects or objects;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(2)" + } + ], + "prose": [ + "\u003cp\u003eGranting its privileges to other subjects;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_smt_b.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(3)" + } + ], + "prose": [ + "\u003cp\u003eChanging one or more security attributes on subjects, objects, the information system, or information system components;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_smt_b.4", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(4)" + } + ], + "prose": [ + "\u003cp\u003eChoosing the security attributes and attribute values to be associated with newly created or modified objects; or\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_smt_b.5", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (3)(b)(5)" + } + ], + "prose": [ + "\u003cp\u003eChanging the rules governing access control; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-3.3_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (3)(c)" + } + ], + "prose": [ + "\u003cp\u003eSpecifies that \u003cinsert param-id=\"ac-3.3_prm_2\"/\u003e may explicitly be granted \u003cinsert param-id=\"ac-3.3_prm_3\"/\u003e such that they are not limited by some or all of the above constraints.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMandatory access control as defined in this control enhancement is synonymous with nondiscretionary access control, and is not constrained only to certain historical uses (e.g., implementations using the Bell-LaPadula Model). The above class of mandatory access control policies constrains what actions subjects can take with information obtained from data objects for which they have already been granted access, thus preventing the subjects from passing the information to unauthorized subjects and objects. This class of mandatory access control policies also constrains what actions subjects can take with respect to the propagation of access control privileges; that is, a subject with a privilege cannot pass that privilege to other subjects. The policy is uniformly enforced over all subjects and objects to which the information system has control. Otherwise, the access control policy can be circumvented. This enforcement typically is provided via an implementation that meets the reference monitor concept (see AC-25). The policy is bounded by the information system boundary (i.e., once the information is passed outside of the control of the system, additional means may be required to ensure that the constraints on the information remain in effect). The trusted subjects described above are granted privileges consistent with the concept of least privilege (see AC-6). Trusted subjects are only given the minimum privileges relative to the above policy necessary for satisfying organizational mission/business needs. The control is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes a policy regarding access to sensitive/classified information and some users of the information system are not authorized access to all sensitive/classified information resident in the information system. This control can operate in conjunction with AC-3 (4). A subject that is constrained in its operation by policies governed by this control is still able to operate under the less rigorous constraints of AC-3 (4), but policies governed by this control take precedence over the less rigorous constraints of AC-3 (4). For example, while a mandatory access control policy imposes a constraint preventing a subject from passing information to another subject operating at a different sensitivity label, AC-3 (4) permits the subject to pass the information to any subject with the same sensitivity label as the subject.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-25" + }, + { + "rel": "related", + "href": "#sc-11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines mandatory access control policies to be enforced over all subjects and objects;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines subjects over which organization-defined mandatory access control policies are to be enforced;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines objects over which organization-defined mandatory access control policies are to be enforced;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_obj_3.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines subjects that may explicitly be granted privileges such that they are not limited by the constraints specified elsewhere within this control;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_obj_3.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[5]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines privileges that may be granted to organization-defined subjects;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_obj_3.6", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[6]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces organization-defined mandatory access control policies over all subjects and objects where the policy specifies that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.3_obj_3.6.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](a)" + } + ], + "prose": [ + "\u003cp\u003ethe policy is uniformly enforced across all subjects and objects within the boundary of the information system;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_obj_3.6.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)" + } + ], + "prose": [ + "\u003cp\u003ea subject that has been granted access to information is constrained from doing any of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.3_obj_3.6.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(1)" + } + ], + "prose": [ + "\u003cp\u003epassing the information to unauthorized subjects or objects;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_obj_3.6.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(2)" + } + ], + "prose": [ + "\u003cp\u003egranting its privileges to other subjects;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_obj_3.6.b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)" + } + ], + "prose": [ + "\u003cp\u003echanging one or more security attributes on:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.3_obj_3.6.b.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)[a]" + } + ], + "prose": [ + "\u003cp\u003esubjects;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_obj_3.6.b.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)[b]" + } + ], + "prose": [ + "\u003cp\u003eobjects;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_obj_3.6.b.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)[c]" + } + ], + "prose": [ + "\u003cp\u003ethe information system; or\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_obj_3.6.b.3.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(3)[d]" + } + ], + "prose": [ + "\u003cp\u003esystem components;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-3.3_obj_3.6.b.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(4)" + } + ], + "prose": [ + "\u003cp\u003echoosing the security attributes and attribute values to be associated with newly created or modified objects; or\u003c/p\u003e" + ] + }, + { + "id": "ac-3.3_obj_3.6.b.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](b)(5)" + } + ], + "prose": [ + "\u003cp\u003echanging the rules governing access control; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-3.3_obj_3.6.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(3)[6](c)" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined subjects may explicitly be granted organization-defined privileges such that they are not limited by some or all of the above constraints.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003emandatory access control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of subjects and objects (i.e., users and resources) requiring enforcement of mandatory access control policies\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing mandatory access control\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-3.4", + "class": "SP800-53-enhancement", + "title": "Discretionary Access Control", + "params": [ + { + "id": "ac-3.4_prm_1", + "label": "organization-defined discretionary access control policy" + } + ], + "props": [ + { + "class": "name", + "value": "AC-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces \u003cinsert param-id=\"ac-3.4_prm_1\"/\u003e over defined subjects and objects where the policy specifies that a subject that has been granted access to information can do one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (4)(a)" + } + ], + "prose": [ + "\u003cp\u003ePass the information to any other subjects or objects;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (4)(b)" + } + ], + "prose": [ + "\u003cp\u003eGrant its privileges to other subjects;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (4)(c)" + } + ], + "prose": [ + "\u003cp\u003eChange security attributes on subjects, objects, the information system, or the information system’s components;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.4_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (4)(d)" + } + ], + "prose": [ + "\u003cp\u003eChoose the security attributes to be associated with newly created or revised objects; or\u003c/p\u003e" + ] + }, + { + "id": "ac-3.4_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (4)(e)" + } + ], + "prose": [ + "\u003cp\u003eChange the rules governing access control.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen discretionary access control policies are implemented, subjects are not constrained with regard to what actions they can take with information for which they have already been granted access. Thus, subjects that have been granted access to information are not prevented from passing (i.e., the subjects have the discretion to pass) the information to other subjects or objects. This control enhancement can operate in conjunction with AC-3 (3). A subject that is constrained in its operation by policies governed by AC-3 (3) is still able to operate under the less rigorous constraints of this control enhancement. Thus, while AC-3 (3) imposes constraints preventing a subject from passing information to another subject operating at a different sensitivity level, AC-3 (4) permits the subject to pass the information to any subject at the same sensitivity level. The policy is bounded by the information system boundary. Once the information is passed outside of the control of the information system, additional means may be required to ensure that the constraints remain in effect. While the older, more traditional definitions of discretionary access control require identity-based access control, that limitation is not required for this use of discretionary access control.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(4)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines discretionary access control policies to be enforced over defined subjects and objects;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(4)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces organization-defined discretionary access control policies over defined subjects and objects where the policy specifies that a subject has been granted access to information and can do one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.4_obj_4.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](a)" + } + ], + "prose": [ + "\u003cp\u003epass the information to any other subjects or objects;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.4_obj_4.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](b)" + } + ], + "prose": [ + "\u003cp\u003egrant its privileges to other subjects;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.4_obj_4.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)" + } + ], + "prose": [ + "\u003cp\u003echange security attributes on:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.4_obj_4.2.c.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)[a]" + } + ], + "prose": [ + "\u003cp\u003esubjects,\u003c/p\u003e" + ] + }, + { + "id": "ac-3.4_obj_4.2.c.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)[b]" + } + ], + "prose": [ + "\u003cp\u003eobjects,\u003c/p\u003e" + ] + }, + { + "id": "ac-3.4_obj_4.2.c.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)[c]" + } + ], + "prose": [ + "\u003cp\u003ethe information system, or\u003c/p\u003e" + ] + }, + { + "id": "ac-3.4_obj_4.2.c.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](c)[d]" + } + ], + "prose": [ + "\u003cp\u003ethe information system’s components;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-3.4_obj_4.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](d)" + } + ], + "prose": [ + "\u003cp\u003echoose the security attributes to be associated with newly created or revised objects; or\u003c/p\u003e" + ] + }, + { + "id": "ac-3.4_obj_4.2.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(4)[2](e)" + } + ], + "prose": [ + "\u003cp\u003echange the rules governing access control.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003ediscretionary access control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of subjects and objects (i.e., users and resources) requiring enforcement of discretionary access control policies\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing discretionary access control policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-3.5", + "class": "SP800-53-enhancement", + "title": "Security-relevant Information", + "params": [ + { + "id": "ac-3.5_prm_1", + "label": "organization-defined security-relevant information" + } + ], + "props": [ + { + "class": "name", + "value": "AC-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system prevents access to \u003cinsert param-id=\"ac-3.5_prm_1\"/\u003e except during secure, non-operable system states.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity-relevant information is any information within information systems that can potentially impact the operation of security functions or the provision of security services in a manner that could result in failure to enforce system security policies or maintain the isolation of code and data. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Secure, non-operable system states include the times in which information systems are not performing mission/business-related processing (e.g., the system is off-line for maintenance, troubleshooting, boot-up, shut down).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(5)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security-relevant information to which the information system prevents access except during secure, non-operable system states; and\u003c/p\u003e" + ] + }, + { + "id": "ac-3.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(5)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system prevents access to organization-defined security-relevant information except during secure, non-operable system states.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms preventing access to security-relevant information within the information system\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-3.6", + "class": "SP800-53-enhancement", + "title": "Protection of User and System Information", + "links": [ + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#sc-28" + } + ], + "props": [ + { + "class": "name", + "value": "AC-3 (6)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into MP-4 and SC-28\u003c/i\u003e \u003ci\u003eIncorporated into MP-4 and SC-28\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-3.7", + "class": "SP800-53-enhancement", + "title": "Role-based Access Control", + "params": [ + { + "id": "ac-3.7_prm_1", + "label": "organization-defined roles and users authorized to assume such roles" + } + ], + "props": [ + { + "class": "name", + "value": "AC-3 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces a role-based access control policy over defined subjects and objects and controls access based upon \u003cinsert param-id=\"ac-3.7_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRole-based access control (RBAC) is an access control policy that restricts information system access to authorized users. Organizations can create specific roles based on job functions and the authorizations (i.e., privileges) to perform needed operations on organizational information systems associated with the organization-defined roles. When users are assigned to the organizational roles, they inherit the authorizations or privileges defined for those roles. RBAC simplifies privilege administration for organizations because privileges are not assigned directly to every user (which can be a significant number of individuals for mid- to large-size organizations) but are instead acquired through role assignments. RBAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing RBAC with mandatory access controls, the requirements in AC-3 (3) define the scope of the subjects and objects covered by the policy.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.7_obj_7.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(7)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines roles to control information system access;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.7_obj_7.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(7)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines users authorized to assume the organization-defined roles;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.7_obj_7.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(7)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system controls access based on organization-defined roles and users authorized to assume such roles;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.7_obj_7.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(7)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces a role-based access control policy over defined:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.7_obj_7.4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(7)[4][a]" + } + ], + "prose": [ + "\u003cp\u003esubjects, and\u003c/p\u003e" + ] + }, + { + "id": "ac-3.7_obj_7.4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(7)[4][b]" + } + ], + "prose": [ + "\u003cp\u003eobjects.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003erole-based access control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp\u003esecurity plan, information system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of roles, users, and associated privileges required to control information system access\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing role-based access control policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-3.8", + "class": "SP800-53-enhancement", + "title": "Revocation of Access Authorizations", + "params": [ + { + "id": "ac-3.8_prm_1", + "label": "organization-defined rules governing the timing of revocations of access authorizations" + } + ], + "props": [ + { + "class": "name", + "value": "AC-3 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on \u003cinsert param-id=\"ac-3.8_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRevocation of access rules may differ based on the types of access revoked. For example, if a subject (i.e., user or process) is removed from a group, access may not be revoked until the next time the object (e.g., file) is opened or until the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations can provide alternative approaches on how to make revocations immediate if information systems cannot provide such capability and immediate revocation is necessary.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.8_obj_8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(8)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines rules governing the timing of revocations of access authorizations; and\u003c/p\u003e" + ] + }, + { + "id": "ac-3.8_obj_8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(8)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on organization-defined rules governing the timing of revocations of access authorizations.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003erules governing revocation of access authorizations, information system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-3.9", + "class": "SP800-53-enhancement", + "title": "Controlled Release", + "params": [ + { + "id": "ac-3.9_prm_1", + "label": "organization-defined information system or system component" + }, + { + "id": "ac-3.9_prm_2", + "label": "organization-defined security safeguards" + }, + { + "id": "ac-3.9_prm_3", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "AC-3 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system does not release information outside of the established system boundary unless:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.9_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (9)(a)" + } + ], + "prose": [ + "\u003cp\u003eThe receiving \u003cinsert param-id=\"ac-3.9_prm_1\"/\u003e provides \u003cinsert param-id=\"ac-3.9_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ac-3.9_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-3 (9)(b)" + } + ], + "prose": [ + "\u003cp\u003e \u003cinsert param-id=\"ac-3.9_prm_3\"/\u003e are used to validate the appropriateness of the information designated for release.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems can only protect organizational information within the confines of established system boundaries. Additional security safeguards may be needed to ensure that such information is adequately protected once it is passed beyond the established information system boundaries. Examples of information leaving the system boundary include transmitting information to an external information system or printing the information on one of its printers. In cases where the information system is unable to make a determination of the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external information systems are providing adequate security. The means used to determine the adequacy of the security provided by external information systems include, for example, conducting inspections or periodic testing, establishing agreements between the organization and its counterpart organizations, or some other process. The means used by external entities to protect the information received need not be the same as those used by the organization, but the means employed are sufficient to provide consistent adjudication of the security policy to protect the information. This control enhancement requires information systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the information system passes information to another system controlled by another organization, technical means are employed to validate that the security attributes associated with the exported information are appropriate for the receiving system. Alternatively, if the information system passes information to a printer in organization-controlled space, procedural means can be employed to ensure that only appropriately authorized individuals gain access to the printer. This control enhancement is most applicable when there is some policy mandate (e.g., law, Executive Order, directive, or regulation) that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular information system or organization.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.9_obj_9.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(9)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the information system or system component authorized to receive information released outside of the established system boundary of the information system releasing such information;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.9_obj_9.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(9)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security safeguards to be provided by organization-defined information system or system component receiving information released from an information system outside of the established system boundary;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.9_obj_9.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(9)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security safeguards to be used to validate the appropriateness of the information designated for release;\u003c/p\u003e" + ] + }, + { + "id": "ac-3.9_obj_9.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(9)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe information system does not release information outside of the established system boundary unless:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.9_obj_9.4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(9)[4](a)" + } + ], + "prose": [ + "\u003cp\u003ethe receiving organization-defined information system or system component provides organization-defined security safeguards; and\u003c/p\u003e" + ] + }, + { + "id": "ac-3.9_obj_9.4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(9)[4](b)" + } + ], + "prose": [ + "\u003cp\u003ethe organization-defined security safeguards are used to validate the appropriateness of the information designated for release.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of security safeguards provided by receiving information system or system components\u003c/p\u003e", + "\u003cp\u003elist of security safeguards validating appropriateness of information designated for release\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-3.10", + "class": "SP800-53-enhancement", + "title": "Audited Override of Access Control Mechanisms", + "params": [ + { + "id": "ac-3.10_prm_1", + "label": "organization-defined conditions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-3 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs an audited override of automated access control mechanisms under \u003cinsert param-id=\"ac-3.10_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-3.10_obj_10.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(10)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines conditions under which to employ an audited override of automated access control mechanisms; and\u003c/p\u003e" + ] + }, + { + "id": "ac-3.10_obj_10.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-3(10)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys an audited override of automated access control mechanisms under organization-defined conditions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003econditions for employing audited override of automated access control mechanisms\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ac-4", + "class": "SP800-53", + "title": "Information Flow Enforcement", + "params": [ + { + "id": "ac-4_prm_1", + "label": "organization-defined information flow control policies" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on \u003cinsert param-id=\"ac-4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#ac-21" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#cm-7" + }, + { + "rel": "related", + "href": "#sa-8" + }, + { + "rel": "related", + "href": "#sc-2" + }, + { + "rel": "related", + "href": "#sc-5" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#sc-18" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information flow control policies to control the flow of information within the system and between interconnected systems; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on organization-defined information flow control policies.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system baseline configuration\u003c/p\u003e", + "\u003cp\u003elist of information flow authorizations\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-4.1", + "class": "SP800-53-enhancement", + "title": "Object Security Attributes", + "params": [ + { + "id": "ac-4.1_prm_1", + "label": "organization-defined security attributes" + }, + { + "id": "ac-4.1_prm_2", + "label": "organization-defined information, source, and destination objects" + }, + { + "id": "ac-4.1_prm_3", + "label": "organization-defined information flow control policies" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system uses \u003cinsert param-id=\"ac-4.1_prm_1\"/\u003e associated with \u003cinsert param-id=\"ac-4.1_prm_2\"/\u003e to enforce \u003cinsert param-id=\"ac-4.1_prm_3\"/\u003e as a basis for flow control decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation flow enforcement mechanisms compare security attributes associated with information (data content and data structure) and source/destination objects, and respond appropriately (e.g., block, quarantine, alert administrator) when the mechanisms encounter information flows not explicitly allowed by information flow policies. For example, an information object labeled Secret would be allowed to flow to a destination object labeled Secret, but an information object labeled Top Secret would not be allowed to flow to a destination object labeled Secret. Security attributes can also include, for example, source and destination addresses employed in traffic filter firewalls. Flow enforcement using explicit security attributes can be used, for example, to control the release of certain types of information.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information flow control policies as a basis for flow control decisions;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security attributes to be associated with information, source, and destination objects;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(1)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the following objects to be associated with organization-defined security attributes:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.1_obj_1.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(1)[3][a]" + } + ], + "prose": [ + "\u003cp\u003einformation;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.1_obj_1.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(1)[3][b]" + } + ], + "prose": [ + "\u003cp\u003esource;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.1_obj_1.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(1)[3][c]" + } + ], + "prose": [ + "\u003cp\u003edestination; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-4.1_obj_1.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(1)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe information system uses organization-defined security attributes associated with organization-defined information, source, and destination objects to enforce organization-defined information flow control policies as a basis for flow control decisions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of security attributes and associated information, source, and destination objects enforcing information flow control policies\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.2", + "class": "SP800-53-enhancement", + "title": "Processing Domains", + "params": [ + { + "id": "ac-4.2_prm_1", + "label": "organization-defined information flow control policies" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system uses protected processing domains to enforce \u003cinsert param-id=\"ac-4.2_prm_1\"/\u003e as a basis for flow control decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWithin information systems, protected processing domains are processing spaces that have controlled interactions with other processing spaces, thus enabling control of information flows between these spaces and to/from data/information objects. A protected processing domain can be provided, for example, by implementing domain and type enforcement. In domain and type enforcement, information system processes are assigned to domains; information is identified by types; and information flows are controlled based on allowed information accesses (determined by domain and type), allowed signaling among domains, and allowed process transitions to other domains.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information flow control policies as a basis for flow control decisions; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system uses protected processing domains to enforce organization-defined information flow control policies as a basis for flow control decisions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system security architecture and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.3", + "class": "SP800-53-enhancement", + "title": "Dynamic Information Flow Control", + "params": [ + { + "id": "ac-4.3_prm_1", + "label": "organization-defined policies" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces dynamic information flow control based on \u003cinsert param-id=\"ac-4.3_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational policies regarding dynamic information flow control include, for example, allowing or disallowing information flows based on changing conditions or mission/operational considerations. Changing conditions include, for example, changes in organizational risk tolerance due to changes in the immediacy of mission/business needs, changes in the threat environment, and detection of potentially harmful or adverse events.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(3)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines policies to enforce dynamic information flow control; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces dynamic information flow control based on organization-defined policies.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system security architecture and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.4", + "class": "SP800-53-enhancement", + "title": "Content Check Encrypted Information", + "params": [ + { + "id": "ac-4.4_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "decrypting the information" + }, + { + "assignments": null, + "Value": "blocking the flow of the encrypted information" + }, + { + "assignments": null, + "Value": "terminating communications sessions attempting to pass encrypted information" + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "ac-4.4_prm_2", + "dependsOn": "ac-4.4_prm_1", + "label": "organization-defined procedure or method" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system prevents encrypted information from bypassing content-checking mechanisms by \u003cinsert param-id=\"ac-4.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(4)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines a procedure or method to be employed to prevent encrypted information from bypassing content-checking mechanisms;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(4)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system prevents encrypted information from bypassing content-checking mechanisms by doing one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.4_obj_4.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(4)[2][a]" + } + ], + "prose": [ + "\u003cp\u003edecrypting the information;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.4_obj_4.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(4)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eblocking the flow of the encrypted information;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.4_obj_4.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(4)[2][c]" + } + ], + "prose": [ + "\u003cp\u003eterminating communications sessions attempting to pass encrypted information; and/or\u003c/p\u003e" + ] + }, + { + "id": "ac-4.4_obj_4.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(4)[2][d]" + } + ], + "prose": [ + "\u003cp\u003eemploying the organization-defined procedure or method.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.5", + "class": "SP800-53-enhancement", + "title": "Embedded Data Types", + "params": [ + { + "id": "ac-4.5_prm_1", + "label": "organization-defined limitations" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces \u003cinsert param-id=\"ac-4.5_prm_1\"/\u003e on embedding data types within other data types.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEmbedding data types within other data types may result in reduced flow control effectiveness. Data type embedding includes, for example, inserting executable files as objects within word processing files, inserting references or descriptive information into a media file, and compressed or archived data types that may include multiple embedded data types. Limitations on data type embedding consider the levels of embedding and prohibit levels of data type embedding that are beyond the capability of the inspection tools.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(5)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines limitations to be enforced on embedding data types within other data types; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(5)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces organization-defined limitations on embedding data types within other data types.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of limitations to be enforced on embedding data types within other data types\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.6", + "class": "SP800-53-enhancement", + "title": "Metadata", + "params": [ + { + "id": "ac-4.6_prm_1", + "label": "organization-defined metadata" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces information flow control based on \u003cinsert param-id=\"ac-4.6_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMetadata is information used to describe the characteristics of data. Metadata can include structural metadata describing data structures (e.g., data format, syntax, and semantics) or descriptive metadata describing data contents (e.g., age, location, telephone number). Enforcing allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata with regard to data accuracy (i.e., knowledge that the metadata values are correct with respect to the data), data integrity (i.e., protecting against unauthorized changes to metadata tags), and the binding of metadata to the data payload (i.e., ensuring sufficiently strong binding techniques with appropriate levels of assurance).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-16" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.6_obj_6.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(6)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines metadata to be used as a means of enforcing information flow control; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.6_obj_6.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(6)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces information flow control based on organization-defined metadata.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003etypes of metadata used to enforce information flow control decisions\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.7", + "class": "SP800-53-enhancement", + "title": "One-way Flow Mechanisms", + "params": [ + { + "id": "ac-4.7_prm_1", + "label": "organization-defined one-way information flows" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces \u003cinsert param-id=\"ac-4.7_prm_1\"/\u003e using hardware mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.7_obj_7.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(7)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines one-way information flows to be enforced by the information system; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.7_obj_7.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(7)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces organization-defined one-way information flows using hardware mechanisms.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware mechanisms and associated configurations\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eHardware mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.8", + "class": "SP800-53-enhancement", + "title": "Security Policy Filters", + "params": [ + { + "id": "ac-4.8_prm_1", + "label": "organization-defined security policy filters" + }, + { + "id": "ac-4.8_prm_2", + "label": "organization-defined information flows" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces information flow control using \u003cinsert param-id=\"ac-4.8_prm_1\"/\u003e as a basis for flow control decisions for \u003cinsert param-id=\"ac-4.8_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganization-defined security policy filters can address data structures and content. For example, security policy filters for data structures can check for maximum file lengths, maximum field sizes, and data/file types (for structured and unstructured data). Security policy filters for data content can check for specific words (e.g., dirty/clean word filters), enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data typically refers to digital information without a particular data structure or with a data structure that does not facilitate the development of rule sets to address the particular sensitivity of the information conveyed by the data or the associated flow enforcement decisions. Unstructured data consists of: (i) bitmap objects that are inherently non language-based (i.e., image, video, or audio files); and (ii) textual objects that are based on written or printed languages (e.g., commercial off-the-shelf word processing documents, spreadsheets, or emails). Organizations can implement more than one security policy filter to meet information flow control objectives (e.g., employing clean word lists in conjunction with dirty word lists may help to reduce false positives).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.8_obj_8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(8)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security policy filters to be used as a basis for enforcing flow control decisions;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.8_obj_8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(8)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information flows for which flow control decisions are to be applied and enforced; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.8_obj_8.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(8)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces information flow control using organization-defined security policy filters as a basis for flow control decisions for organization-defined information flows.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of security policy filters regulating flow control decisions\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.9", + "class": "SP800-53-enhancement", + "title": "Human Reviews", + "params": [ + { + "id": "ac-4.9_prm_1", + "label": "organization-defined information flows" + }, + { + "id": "ac-4.9_prm_2", + "label": "organization-defined conditions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces the use of human reviews for \u003cinsert param-id=\"ac-4.9_prm_1\"/\u003e under the following conditions: \u003cinsert param-id=\"ac-4.9_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations define security policy filters for all situations where automated flow control decisions are possible. When a fully automated flow control decision is not possible, then a human review may be employed in lieu of, or as a complement to, automated security policy filtering. Human reviews may also be employed as deemed necessary by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.9_obj_9.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(9)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information flows requiring the use of human reviews;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.9_obj_9.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(9)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines conditions under which the use of human reviews for organization-defined information flows is to be enforced; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.9_obj_9.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(9)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces the use of human reviews for organization-defined information flows under organization-defined conditions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of human reviews regarding information flows\u003c/p\u003e", + "\u003cp\u003elist of conditions requiring human reviews for information flows\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms enforcing the use of human reviews\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.10", + "class": "SP800-53-enhancement", + "title": "Enable / Disable Security Policy Filters", + "params": [ + { + "id": "ac-4.10_prm_1", + "label": "organization-defined security policy filters" + }, + { + "id": "ac-4.10_prm_2", + "label": "organization-defined conditions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides the capability for privileged administrators to enable/disable \u003cinsert param-id=\"ac-4.10_prm_1\"/\u003e under the following conditions: \u003cinsert param-id=\"ac-4.10_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor example, as allowed by the information system authorization, administrators can enable security policy filters to accommodate approved data types.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.10_obj_10.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(10)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security policy filters that privileged administrators have the capability to enable/disable;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.10_obj_10.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(10)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization-defined conditions under which privileged administrators have the capability to enable/disable organization-defined security policy filters; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.10_obj_10.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(10)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides the capability for privileged administrators to enable/disable organization-defined security policy filters under organization-defined conditions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow information policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of security policy filters enabled/disabled by privileged administrators\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for enabling/disabling security policy filters\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.11", + "class": "SP800-53-enhancement", + "title": "Configuration of Security Policy Filters", + "params": [ + { + "id": "ac-4.11_prm_1", + "label": "organization-defined security policy filters" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides the capability for privileged administrators to configure \u003cinsert param-id=\"ac-4.11_prm_1\"/\u003e to support different security policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor example, to reflect changes in security policies, administrators can change the list of “dirty words” that security policy mechanisms check in accordance with the definitions provided by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.11_obj_11.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(11)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security policy filters that privileged administrators have the capability to configure to support different security policies; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.11_obj_11.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(11)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides the capability for privileged administrators to configure organization-defined security policy filters to support different security policies.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of security policy filters\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for configuring security policy filters\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.12", + "class": "SP800-53-enhancement", + "title": "Data Type Identifiers", + "params": [ + { + "id": "ac-4.12_prm_1", + "label": "organization-defined data type identifiers" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system, when transferring information between different security domains, uses \u003cinsert param-id=\"ac-4.12_prm_1\"/\u003e to validate data essential for information flow decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData type identifiers include, for example, filenames, file types, file signatures/tokens, and multiple internal file signatures/tokens. Information systems may allow transfer of data only if compliant with data type format specifications.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.12_obj_12.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(12)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines data type identifiers to be used, when transferring information between different security domains, to validate data essential for information flow decisions; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.12_obj_12.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(12)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system, when transferring information between different security domains, uses organization-defined data type identifiers to validate data essential for information flow decisions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of data type identifiers\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.13", + "class": "SP800-53-enhancement", + "title": "Decomposition into Policy-relevant Subcomponents", + "params": [ + { + "id": "ac-4.13_prm_1", + "label": "organization-defined policy-relevant subcomponents" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system, when transferring information between different security domains, decomposes information into \u003cinsert param-id=\"ac-4.13_prm_1\"/\u003e for submission to policy enforcement mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePolicy enforcement mechanisms apply filtering, inspection, and/or sanitization rules to the policy-relevant subcomponents of information to facilitate flow enforcement prior to transferring such information to different security domains. Parsing transfer files facilitates policy decisions on source, destination, certificates, classification, attachments, and other security-related component differentiators.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.13_obj_13.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(13)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines policy-relevant subcomponents to decompose information for submission to policy enforcement mechanisms when transferring such information between different security domains; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.13_obj_13.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(13)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system, when transferring information between different security domains, decomposes information into organization-defined policy-relevant subcomponents for submission to policy enforcement mechanisms.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.14", + "class": "SP800-53-enhancement", + "title": "Security Policy Filter Constraints", + "params": [ + { + "id": "ac-4.14_prm_1", + "label": "organization-defined security policy filters" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system, when transferring information between different security domains, implements \u003cinsert param-id=\"ac-4.14_prm_1\"/\u003e requiring fully enumerated formats that restrict data structure and content.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData structure and content restrictions reduce the range of potential malicious and/or unsanctioned content in cross-domain transactions. Security policy filters that restrict data structures include, for example, restricting file sizes and field lengths. Data content policy filters include, for example: (i) encoding formats for character sets (e.g., Universal Character Set Transformation Formats, American Standard Code for Information Interchange); (ii) restricting character data fields to only contain alpha-numeric characters; (iii) prohibiting special characters; and (iv) validating schema structures.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.14_obj_14.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(14)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security policy filters to be implemented that require fully enumerated formats restricting data structure and content when transferring information between different security domains; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.14_obj_14.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(14)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system, when transferring information between different security domains, implements organization-defined security policy filters requiring fully enumerated formats that restrict data structure and content.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of security policy filters\u003c/p\u003e", + "\u003cp\u003elist of data content policy filters\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.15", + "class": "SP800-53-enhancement", + "title": "Detection of Unsanctioned Information", + "params": [ + { + "id": "ac-4.15_prm_1", + "label": "organized-defined unsanctioned information" + }, + { + "id": "ac-4.15_prm_2", + "label": "organization-defined security policy" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system, when transferring information between different security domains, examines the information for the presence of \u003cinsert param-id=\"ac-4.15_prm_1\"/\u003e and prohibits the transfer of such information in accordance with the \u003cinsert param-id=\"ac-4.15_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetection of unsanctioned information includes, for example, checking all information to be transferred for malicious code and dirty words.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.15_obj_15.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(15)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines unsanctioned information to be detected when transferring information between different security domains;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.15_obj_15.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(15)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the security policy that requires the transfer of organization-defined unsanctioned information between different security domains to be prohibited when the presence of such information is detected; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.15_obj_15.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(15)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system, when transferring information between different security domains, examines the information for the presence of organization-defined unsanctioned information and prohibits the transfer of such information in accordance with the organization-defined security policy.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of unsanctioned information types and associated information\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.16", + "class": "SP800-53-enhancement", + "title": "Information Transfers On Interconnected Systems", + "links": [ + { + "rel": "related", + "href": "#ac-4" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (16)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into AC-4\u003c/i\u003e \u003ci\u003eIncorporated into AC-4\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-4.17", + "class": "SP800-53-enhancement", + "title": "Domain Authentication", + "params": [ + { + "id": "ac-4.17_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "organization, system, application, individual" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (17)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system uniquely identifies and authenticates source and destination points by \u003cinsert param-id=\"ac-4.17_prm_1\"/\u003e for information transfer.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAttribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in information systems, allows the forensic reconstruction of events when required, and encourages policy compliance by attributing policy violations to specific organizations/individuals. Successful domain authentication requires that information system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ia-2" + }, + { + "rel": "related", + "href": "#ia-3" + }, + { + "rel": "related", + "href": "#ia-4" + }, + { + "rel": "related", + "href": "#ia-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system uniquely identifies and authenticates: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.17_obj_17.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(17)[1]" + } + ], + "parts": [ + { + "id": "ac-4.17_obj_17.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(17)[1][a]" + } + ], + "prose": [ + "\u003cp\u003esource points for information transfer;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.17_obj_17.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(17)[1][b]" + } + ], + "prose": [ + "\u003cp\u003edestination points for information transfer;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-4.17_obj_17.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(17)[2]" + } + ], + "prose": [ + "\u003cp\u003eby one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.17_obj_17.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(17)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eorganization;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.17_obj_17.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(17)[2][b]" + } + ], + "prose": [ + "\u003cp\u003esystem;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.17_obj_17.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(17)[2][c]" + } + ], + "prose": [ + "\u003cp\u003eapplication; and/or\u003c/p\u003e" + ] + }, + { + "id": "ac-4.17_obj_17.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(17)[2][d]" + } + ], + "prose": [ + "\u003cp\u003eindividual.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003eprocedures addressing source and destination domain identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.18", + "class": "SP800-53-enhancement", + "title": "Security Attribute Binding", + "params": [ + { + "id": "ac-4.18_prm_1", + "label": "organization-defined binding techniques" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (18)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system binds security attributes to information using \u003cinsert param-id=\"ac-4.18_prm_1\"/\u003e to facilitate information flow policy enforcement.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBinding techniques implemented by information systems affect the strength of security attribute binding to information. Binding strength and the assurance associated with binding techniques play an important part in the trust organizations have in the information flow enforcement process. The binding techniques affect the number and degree of additional reviews required by organizations.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-16" + }, + { + "rel": "related", + "href": "#sc-16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.18_obj_18.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(18)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines binding techniques to be used to facilitate information flow policy enforcement; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.18_obj_18.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(18)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system binds security attributes to information using organization-defined binding techniques to facilitate information flow policy enforcement.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of binding techniques to bind security attributes to information\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.19", + "class": "SP800-53-enhancement", + "title": "Validation of Metadata", + "props": [ + { + "class": "name", + "value": "AC-4 (19)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires the validation of metadata and the data to which the metadata applies. Some organizations distinguish between metadata and data payloads (i.e., only the data to which the metadata is bound). Other organizations do not make such distinctions, considering metadata and the data to which the metadata applies as part of the payload. All information (including metadata and the data to which the metadata applies) is subject to filtering and inspection.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of security policy filtering criteria applied to metadata and data payloads\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.20", + "class": "SP800-53-enhancement", + "title": "Approved Solutions", + "params": [ + { + "id": "ac-4.20_prm_1", + "label": "organization-defined solutions in approved configurations" + }, + { + "id": "ac-4.20_prm_2", + "label": "organization-defined information" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (20)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"ac-4.20_prm_1\"/\u003e to control the flow of \u003cinsert param-id=\"ac-4.20_prm_2\"/\u003e across security domains.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations define approved solutions and configurations in cross-domain policies and guidance in accordance with the types of information flows across classification boundaries. The Unified Cross Domain Management Office (UCDMO) provides a baseline listing of approved cross-domain solutions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.20_obj_20.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(20)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines solutions in approved configurations to control the flow of information across security domains;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.20_obj_20.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(20)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines information for which organization-defined solutions in approved configurations are to be employed to control the flow of such information across security domains; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.20_obj_20.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(20)[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined solutions in approved configurations to control the flow of organization-defined information across security domains.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of solutions in approved configurations\u003c/p\u003e", + "\u003cp\u003eapproved configuration baselines\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.21", + "class": "SP800-53-enhancement", + "title": "Physical / Logical Separation of Information Flows", + "params": [ + { + "id": "ac-4.21_prm_1", + "label": "organization-defined mechanisms and/or techniques" + }, + { + "id": "ac-4.21_prm_2", + "label": "organization-defined required separations by types of information" + } + ], + "props": [ + { + "class": "name", + "value": "AC-4 (21)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system separates information flows logically or physically using \u003cinsert param-id=\"ac-4.21_prm_1\"/\u003e to accomplish \u003cinsert param-id=\"ac-4.21_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEnforcing the separation of information flows by type can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths perhaps not otherwise achievable. Types of separable information include, for example, inbound and outbound communications traffic, service requests and responses, and information of differing security categories.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-4.21_obj_21.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(21)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the required separations of information flows by types of information;\u003c/p\u003e" + ] + }, + { + "id": "ac-4.21_obj_21.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(21)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the mechanisms and/or techniques to be used to separate information flows logically or physically; and\u003c/p\u003e" + ] + }, + { + "id": "ac-4.21_obj_21.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-4(21)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system separates information flows logically or physically using organization-defined mechanisms and/or techniques to accomplish organization-defined required separations by types of information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policies\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of required separation of information flows by information types\u003c/p\u003e", + "\u003cp\u003elist of mechanisms and/or techniques used to logically or physically separate information flows\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-4.22", + "class": "SP800-53-enhancement", + "title": "Access Only", + "props": [ + { + "class": "name", + "value": "AC-4 (22)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe information system, for example, provides a desktop for users to access each connected security domain without providing any mechanisms to allow transfer of information between the different security domains.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation flow enforcement policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information flow enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information flow enforcement functions\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ac-5", + "class": "SP800-53", + "title": "Separation of Duties", + "params": [ + { + "id": "ac-5_prm_1", + "label": "organization-defined duties of individuals" + } + ], + "props": [ + { + "class": "name", + "value": "AC-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-5a." + } + ], + "prose": [ + "\u003cp\u003eSeparates \u003cinsert param-id=\"ac-5_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "ac-5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-5b." + } + ], + "prose": [ + "\u003cp\u003eDocuments separation of duties of individuals; and\u003c/p\u003e" + ] + }, + { + "id": "ac-5_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-5c." + } + ], + "prose": [ + "\u003cp\u003eDefines information system access authorizations to support separation of duties.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSeparation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example: (i) dividing mission functions and information system support functions among different individuals and/or roles; (ii) conducting information system support functions with different individuals (e.g., system management, programming, configuration management, quality assurance and testing, and network security); and (iii) ensuring security personnel administering access control functions do not also administer audit functions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#pe-4" + }, + { + "rel": "related", + "href": "#ps-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-5_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-5(a)" + } + ], + "parts": [ + { + "id": "ac-5_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-5(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines duties of individuals to be separated;\u003c/p\u003e" + ] + }, + { + "id": "ac-5_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-5(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eseparates organization-defined duties of individuals;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-5_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-5(b)" + } + ], + "prose": [ + "\u003cp\u003edocuments separation of duties; and\u003c/p\u003e" + ] + }, + { + "id": "ac-5_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-5(c)" + } + ], + "prose": [ + "\u003cp\u003edefines information system access authorizations to support separation of duties.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing divisions of responsibility and separation of duties\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of divisions of responsibility and separation of duties\u003c/p\u003e", + "\u003cp\u003einformation system access authorizations\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing separation of duties policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-6", + "class": "SP800-53", + "title": "Least Privilege", + "props": [ + { + "class": "name", + "value": "AC-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ least privilege for specific duties and information systems. The principle of least privilege is also applied to information system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions/business functions. Organizations consider the creation of additional processes, roles, and information system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-5" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#cm-7" + }, + { + "rel": "related", + "href": "#pl-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs the principle of least privilege, allowing only authorized access for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp\u003elist of assigned access authorizations (user privileges)\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-6.1", + "class": "SP800-53-enhancement", + "title": "Authorize Access to Security Functions", + "params": [ + { + "id": "ac-6.1_prm_1", + "label": "organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information" + } + ], + "props": [ + { + "class": "name", + "value": "AC-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization explicitly authorizes access to \u003cinsert param-id=\"ac-6.1_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#ac-19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-6.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security-relevant information for which access must be explicitly authorized;\u003c/p\u003e" + ] + }, + { + "id": "ac-6.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines security functions deployed in:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-6.1_obj_1.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(1)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ehardware;\u003c/p\u003e" + ] + }, + { + "id": "ac-6.1_obj_1.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(1)[2][b]" + } + ], + "prose": [ + "\u003cp\u003esoftware;\u003c/p\u003e" + ] + }, + { + "id": "ac-6.1_obj_1.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(1)[2][c]" + } + ], + "prose": [ + "\u003cp\u003efirmware;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-6.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(1)[3]" + } + ], + "prose": [ + "\u003cp\u003eexplicitly authorizes access to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-6.1_obj_1.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(1)[3][a]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined security functions; and\u003c/p\u003e" + ] + }, + { + "id": "ac-6.1_obj_1.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(1)[3][b]" + } + ], + "prose": [ + "\u003cp\u003esecurity-relevant information.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp\u003elist of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-6.2", + "class": "SP800-53-enhancement", + "title": "Non-privileged Access for Nonsecurity Functions", + "params": [ + { + "id": "ac-6.2_prm_1", + "label": "organization-defined security functions or security-relevant information" + } + ], + "props": [ + { + "class": "name", + "value": "AC-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires that users of information system accounts, or roles, with access to \u003cinsert param-id=\"ac-6.2_prm_1\"/\u003e, use non-privileged accounts or roles, when accessing nonsecurity functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pl-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-6.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security functions or security-relevant information to which users of information system accounts, or roles, have access; and\u003c/p\u003e" + ] + }, + { + "id": "ac-6.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(2)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires that users of information system accounts, or roles, with access to organization-defined security functions or security-relevant information, use non-privileged accounts, or roles, when accessing nonsecurity functions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp\u003elist of system-generated security functions or security-relevant information assigned to information system accounts or roles\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-6.3", + "class": "SP800-53-enhancement", + "title": "Network Access to Privileged Commands", + "params": [ + { + "id": "ac-6.3_prm_1", + "label": "organization-defined privileged commands" + }, + { + "id": "ac-6.3_prm_2", + "label": "organization-defined compelling operational needs" + } + ], + "props": [ + { + "class": "name", + "value": "AC-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization authorizes network access to \u003cinsert param-id=\"ac-6.3_prm_1\"/\u003e only for \u003cinsert param-id=\"ac-6.3_prm_2\"/\u003e and documents the rationale for such access in the security plan for the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNetwork access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-17" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-6.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines privileged commands to which network access is to be authorized only for compelling operational needs;\u003c/p\u003e" + ] + }, + { + "id": "ac-6.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines compelling operational needs for which network access to organization-defined privileged commands are to be solely authorized;\u003c/p\u003e" + ] + }, + { + "id": "ac-6.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(3)[3]" + } + ], + "prose": [ + "\u003cp\u003eauthorizes network access to organization-defined privileged commands only for organization-defined compelling operational needs; and\u003c/p\u003e" + ] + }, + { + "id": "ac-6.3_obj_3.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(3)[4]" + } + ], + "prose": [ + "\u003cp\u003edocuments the rationale for authorized network access to organization-defined privileged commands in the security plan for the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003elist of operational needs for authorizing network access to privileged commands\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-6.4", + "class": "SP800-53-enhancement", + "title": "Separate Processing Domains", + "props": [ + { + "class": "name", + "value": "AC-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides separate processing domains to enable finer-grained allocation of user privileges.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProviding separate processing domains for finer-grained allocation of user privileges includes, for example: (i) using virtualization techniques to allow additional privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying actual machine; (ii) employing hardware and/or software domain separation mechanisms; and (iii) implementing separate physical domains.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#sc-3" + }, + { + "rel": "related", + "href": "#sc-30" + }, + { + "rel": "related", + "href": "#sc-32" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system provides separate processing domains to enable finer-grained allocation of user privileges.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-6.5", + "class": "SP800-53-enhancement", + "title": "Privileged Accounts", + "params": [ + { + "id": "ac-6.5_prm_1", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "AC-6 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization restricts privileged accounts on the information system to \u003cinsert param-id=\"ac-6.5_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided organizations retain the ability to control information system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-6.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles for which privileged accounts on the information system are to be restricted; and\u003c/p\u003e" + ] + }, + { + "id": "ac-6.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(5)[2]" + } + ], + "prose": [ + "\u003cp\u003erestricts privileged accounts on the information system to organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp\u003elist of system-generated privileged accounts\u003c/p\u003e", + "\u003cp\u003elist of system administration personnel\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing least privilege functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-6.6", + "class": "SP800-53-enhancement", + "title": "Privileged Access by Non-organizational Users", + "props": [ + { + "class": "name", + "value": "AC-6 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization prohibits privileged access to the information system by non-organizational users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ia-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization prohibits privileged access to the information system by non-organizational users. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp\u003elist of system-generated privileged accounts\u003c/p\u003e", + "\u003cp\u003elist of non-organizational users\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms prohibiting privileged access to the information system\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-6.7", + "class": "SP800-53-enhancement", + "title": "Review of User Privileges", + "params": [ + { + "id": "ac-6.7_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "ac-6.7_prm_2", + "label": "organization-defined roles or classes of users" + } + ], + "props": [ + { + "class": "name", + "value": "AC-6 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-6.7_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-6 (7)(a)" + } + ], + "prose": [ + "\u003cp\u003eReviews \u003cinsert param-id=\"ac-6.7_prm_1\"/\u003e the privileges assigned to \u003cinsert param-id=\"ac-6.7_prm_2\"/\u003e to validate the need for such privileges; and\u003c/p\u003e" + ] + }, + { + "id": "ac-6.7_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-6 (7)(b)" + } + ], + "prose": [ + "\u003cp\u003eReassigns or removes privileges, if necessary, to correctly reflect organizational mission/business needs.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe need for certain assigned user privileges may change over time reflecting changes in organizational missions/business function, environments of operation, technologies, or threat. Periodic review of assigned user privileges is necessary to determine if the rationale for assigning such privileges remains valid. If the need cannot be revalidated, organizations take appropriate corrective actions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-6.7_obj_7.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(7)(a)" + } + ], + "parts": [ + { + "id": "ac-6.7_obj_7.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(7)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines roles or classes of users to which privileges are assigned;\u003c/p\u003e" + ] + }, + { + "id": "ac-6.7_obj_7.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(7)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review the privileges assigned to organization-defined roles or classes of users to validate the need for such privileges;\u003c/p\u003e" + ] + }, + { + "id": "ac-6.7_obj_7.a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(7)(a)[3]" + } + ], + "prose": [ + "\u003cp\u003ereviews the privileges assigned to organization-defined roles or classes of users with the organization-defined frequency to validate the need for such privileges; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-6.7_obj_7.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(7)(b)" + } + ], + "prose": [ + "\u003cp\u003ereassigns or removes privileges, if necessary, to correctly reflect organizational missions/business needs.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp\u003elist of system-generated roles or classes of users and assigned privileges\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003evalidation reviews of privileges assigned to roles or classes or users\u003c/p\u003e", + "\u003cp\u003erecords of privilege removals or reassignments for roles or classes of users\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing review of user privileges\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-6.8", + "class": "SP800-53-enhancement", + "title": "Privilege Levels for Code Execution", + "params": [ + { + "id": "ac-6.8_prm_1", + "label": "organization-defined software" + } + ], + "props": [ + { + "class": "name", + "value": "AC-6 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system prevents \u003cinsert param-id=\"ac-6.8_prm_1\"/\u003e from executing at higher privilege levels than users executing the software.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, software applications/programs need to execute with elevated privileges to perform required functions. However, if the privileges required for execution are at a higher level than the privileges assigned to organizational users invoking such applications/programs, those users are indirectly provided with greater privileges than assigned by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-6.8_obj_8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(8)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines software that should not execute at higher privilege levels than users executing the software; and\u003c/p\u003e" + ] + }, + { + "id": "ac-6.8_obj_8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(8)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system prevents organization-defined software from executing at higher privilege levels than users executing the software.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp\u003elist of software that should not execute at higher privilege levels than users executing software\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing least privilege functions for software execution\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-6.9", + "class": "SP800-53-enhancement", + "title": "Auditing Use of Privileged Functions", + "props": [ + { + "class": "name", + "value": "AC-6 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system audits the execution of privileged functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMisuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised information system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat (APT).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system audits the execution of privileged functions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of privileged functions to be audited\u003c/p\u003e", + "\u003cp\u003elist of audited events\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms auditing the execution of least privilege functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-6.10", + "class": "SP800-53-enhancement", + "title": "Prohibit Non-privileged Users from Executing Privileged Functions", + "props": [ + { + "class": "name", + "value": "AC-6 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system prevents non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged functions include, for example, establishing information system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system prevents non-privileged users from executing privileged functions to include:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-6.10_obj_10.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(10)[1]" + } + ], + "prose": [ + "\u003cp\u003edisabling implemented security safeguards/countermeasures;\u003c/p\u003e" + ] + }, + { + "id": "ac-6.10_obj_10.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(10)[2]" + } + ], + "prose": [ + "\u003cp\u003ecircumventing security safeguards/countermeasures; or\u003c/p\u003e" + ] + }, + { + "id": "ac-6.10_obj_10.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-6(10)[3]" + } + ], + "prose": [ + "\u003cp\u003ealtering implemented security safeguards/countermeasures.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least privilege\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of privileged functions and associated user account assignments\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing least privilege functions for non-privileged users\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ac-7", + "class": "SP800-53", + "title": "Unsuccessful Logon Attempts", + "params": [ + { + "id": "ac-7_prm_1", + "label": "organization-defined number" + }, + { + "id": "ac-7_prm_2", + "label": "organization-defined time period" + }, + { + "id": "ac-7_prm_3", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "locks the account/node for an \n " + }, + { + "assignments": null, + "Value": "locks the account/node until released by an administrator" + }, + { + "assignments": null, + "Value": "delays next logon prompt according to \n " + } + ] + } + }, + { + "id": "ac-7_prm_4", + "dependsOn": "ac-7_prm_3", + "label": "organization-defined time period" + }, + { + "id": "ac-7_prm_5", + "dependsOn": "ac-7_prm_3", + "label": "organization-defined delay algorithm" + } + ], + "props": [ + { + "class": "name", + "value": "AC-7" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-7_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-7a." + } + ], + "prose": [ + "\u003cp\u003eEnforces a limit of \u003cinsert param-id=\"ac-7_prm_1\"/\u003e consecutive invalid logon attempts by a user during a \u003cinsert param-id=\"ac-7_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ac-7_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-7b." + } + ], + "prose": [ + "\u003cp\u003eAutomatically \u003cinsert param-id=\"ac-7_prm_3\"/\u003e when the maximum number of unsuccessful attempts is exceeded.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by information systems are usually temporary and automatically release after a predetermined time period established by organizations. If a delay algorithm is selected, organizations may choose to employ different algorithms for different information system components based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-9" + }, + { + "rel": "related", + "href": "#ac-14" + }, + { + "rel": "related", + "href": "#ia-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-7_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-7(a)" + } + ], + "parts": [ + { + "id": "ac-7_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-7(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the number of consecutive invalid logon attempts allowed to the information system by a user during an organization-defined time period;\u003c/p\u003e" + ] + }, + { + "id": "ac-7_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-7(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the time period allowed by a user of the information system for an organization-defined number of consecutive invalid logon attempts;\u003c/p\u003e" + ] + }, + { + "id": "ac-7_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-7(a)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces a limit of organization-defined number of consecutive invalid logon attempts by a user during an organization-defined time period;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-7_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-7(b)" + } + ], + "parts": [ + { + "id": "ac-7_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-7(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines account/node lockout time period or logon delay algorithm to be automatically enforced by the information system when the maximum number of unsuccessful logon attempts is exceeded;\u003c/p\u003e" + ] + }, + { + "id": "ac-7_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-7(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system, when the maximum number of unsuccessful logon attempts is exceeded, automatically:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-7_obj_b.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-7(b)[2][a]" + } + ], + "prose": [ + "\u003cp\u003elocks the account/node for the organization-defined time period;\u003c/p\u003e" + ] + }, + { + "id": "ac-7_obj_b.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-7(b)[2][b]" + } + ], + "prose": [ + "\u003cp\u003elocks the account/node until released by an administrator; or\u003c/p\u003e" + ] + }, + { + "id": "ac-7_obj_b.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-7(b)[2][c]" + } + ], + "prose": [ + "\u003cp\u003edelays next logon prompt according to the organization-defined delay algorithm.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing unsuccessful logon attempts\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access control policy for unsuccessful logon attempts\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-7.1", + "class": "SP800-53-enhancement", + "title": "Automatic Account Lock", + "links": [ + { + "rel": "related", + "href": "#ac-7" + } + ], + "props": [ + { + "class": "name", + "value": "AC-7 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into AC-7\u003c/i\u003e \u003ci\u003eIncorporated into AC-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-7.2", + "class": "SP800-53-enhancement", + "title": "Purge / Wipe Mobile Device", + "params": [ + { + "id": "ac-7.2_prm_1", + "label": "organization-defined mobile devices" + }, + { + "id": "ac-7.2_prm_2", + "label": "organization-defined purging/wiping requirements/techniques" + }, + { + "id": "ac-7.2_prm_3", + "label": "organization-defined number" + } + ], + "props": [ + { + "class": "name", + "value": "AC-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system purges/wipes information from \u003cinsert param-id=\"ac-7.2_prm_1\"/\u003e based on \u003cinsert param-id=\"ac-7.2_prm_2\"/\u003e after \u003cinsert param-id=\"ac-7.2_prm_3\"/\u003e consecutive, unsuccessful device logon attempts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies only to mobile devices for which a logon occurs (e.g., personal digital assistants, smart phones, tablets). The logon is to the mobile device, not to any one account on the device. Therefore, successful logons to any accounts on mobile devices reset the unsuccessful logon count to zero. Organizations define information to be purged/wiped carefully in order to avoid over purging/wiping which may result in devices becoming unusable. Purging/wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#mp-5" + }, + { + "rel": "related", + "href": "#mp-6" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-7.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-7(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines mobile devices to be purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;\u003c/p\u003e" + ] + }, + { + "id": "ac-7.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-7(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines purging/wiping requirements/techniques to be used when organization-defined mobile devices are purged/wiped after organization-defined number of consecutive, unsuccessful device logon attempts;\u003c/p\u003e" + ] + }, + { + "id": "ac-7.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-7(2)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the number of consecutive, unsuccessful logon attempts allowed for accessing mobile devices before the information system purges/wipes information from such devices; and\u003c/p\u003e" + ] + }, + { + "id": "ac-7.2_obj_2.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-7(2)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe information system purges/wipes information from organization-defined mobile devices based on organization-defined purging/wiping requirements/techniques after organization-defined number of consecutive, unsuccessful logon attempts.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing unsuccessful login attempts on mobile devices\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of mobile devices to be purged/wiped after organization-defined consecutive, unsuccessful device logon attempts\u003c/p\u003e", + "\u003cp\u003elist of purging/wiping requirements or techniques for mobile devices\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access control policy for unsuccessful device logon attempts\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ac-8", + "class": "SP800-53", + "title": "System Use Notification", + "params": [ + { + "id": "ac-8_prm_1", + "label": "organization-defined system use notification message or banner" + }, + { + "id": "ac-8_prm_2", + "label": "organization-defined conditions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-8_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-8a." + } + ], + "prose": [ + "\u003cp\u003eDisplays to users \u003cinsert param-id=\"ac-8_prm_1\"/\u003e before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-8_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-8a.1." + } + ], + "prose": [ + "\u003cp\u003eUsers are accessing a U.S. Government information system;\u003c/p\u003e" + ] + }, + { + "id": "ac-8_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-8a.2." + } + ], + "prose": [ + "\u003cp\u003eInformation system usage may be monitored, recorded, and subject to audit;\u003c/p\u003e" + ] + }, + { + "id": "ac-8_smt_a.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-8a.3." + } + ], + "prose": [ + "\u003cp\u003eUnauthorized use of the information system is prohibited and subject to criminal and civil penalties; and\u003c/p\u003e" + ] + }, + { + "id": "ac-8_smt_a.4", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-8a.4." + } + ], + "prose": [ + "\u003cp\u003eUse of the information system indicates consent to monitoring and recording;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-8_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-8b." + } + ], + "prose": [ + "\u003cp\u003eRetains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system; and\u003c/p\u003e" + ] + }, + { + "id": "ac-8_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-8c." + } + ], + "prose": [ + "\u003cp\u003eFor publicly accessible systems:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-8_smt_c.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-8c.1." + } + ], + "prose": [ + "\u003cp\u003eDisplays system use information \u003cinsert param-id=\"ac-8_prm_2\"/\u003e, before granting further access;\u003c/p\u003e" + ] + }, + { + "id": "ac-8_smt_c.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-8c.2." + } + ], + "prose": [ + "\u003cp\u003eDisplays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and\u003c/p\u003e" + ] + }, + { + "id": "ac-8_smt_c.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-8c.3." + } + ], + "prose": [ + "\u003cp\u003eIncludes a description of the authorized uses of the system.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem use notifications can be implemented using messages or warning banners displayed before individuals log in to information systems. System use notifications are used only for access via logon interfaces with human users and are not required when such human interfaces do not exist. Organizations consider system use notification messages/banners displayed in multiple languages based on specific organizational needs and the demographics of information system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-8_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-8(a)" + } + ], + "parts": [ + { + "id": "ac-8_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-8(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines a system use notification message or banner to be displayed by the information system to users before granting access to the system;\u003c/p\u003e" + ] + }, + { + "id": "ac-8_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-8(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system displays to users the organization-defined system use notification message or banner before granting access to the information system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance, and states that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-8_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-8(a)[2](1)" + } + ], + "prose": [ + "\u003cp\u003eusers are accessing a U.S. Government information system;\u003c/p\u003e" + ] + }, + { + "id": "ac-8_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-8(a)[2](2)" + } + ], + "prose": [ + "\u003cp\u003einformation system usage may be monitored, recorded, and subject to audit;\u003c/p\u003e" + ] + }, + { + "id": "ac-8_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-8(a)[2](3)" + } + ], + "prose": [ + "\u003cp\u003eunauthorized use of the information system is prohibited and subject to criminal and civil penalties;\u003c/p\u003e" + ] + }, + { + "id": "ac-8_obj_a.2.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-8(a)[2](4)" + } + ], + "prose": [ + "\u003cp\u003euse of the information system indicates consent to monitoring and recording;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-8_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-8(b)" + } + ], + "prose": [ + "\u003cp\u003ethe information system retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system;\u003c/p\u003e" + ] + }, + { + "id": "ac-8_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-8(c)" + } + ], + "prose": [ + "\u003cp\u003efor publicly accessible systems:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-8_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-8(c)(1)" + } + ], + "parts": [ + { + "id": "ac-8_obj_c.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-8(c)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines conditions for system use to be displayed by the information system before granting further access;\u003c/p\u003e" + ] + }, + { + "id": "ac-8_obj_c.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-8(c)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system displays organization-defined conditions before granting further access;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-8_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-8(c)(2)" + } + ], + "prose": [ + "\u003cp\u003ethe information system displays references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and\u003c/p\u003e" + ] + }, + { + "id": "ac-8_obj_c.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-8(c)(3)" + } + ], + "prose": [ + "\u003cp\u003ethe information system includes a description of the authorized uses of the system.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprivacy and security policies, procedures addressing system use notification\u003c/p\u003e", + "\u003cp\u003edocumented approval of information system use notification messages or banners\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003euser acknowledgements of notification message or banner\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system use notification messages\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for providing legal advice\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing system use notification\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-9", + "class": "SP800-53", + "title": "Previous Logon (access) Notification", + "props": [ + { + "class": "name", + "value": "AC-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control is applicable to logons to information systems via human user interfaces and logons to systems that occur in other types of architectures (e.g., service-oriented architectures).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-7" + }, + { + "rel": "related", + "href": "#pl-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system notification messages\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-9.1", + "class": "SP800-53-enhancement", + "title": "Unsuccessful Logons", + "props": [ + { + "class": "name", + "value": "AC-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-9.2", + "class": "SP800-53-enhancement", + "title": "Successful / Unsuccessful Logons", + "params": [ + { + "id": "ac-9.2_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "successful logons/accesses" + }, + { + "assignments": null, + "Value": "unsuccessful logon/access attempts" + }, + { + "assignments": null, + "Value": "both" + } + ] + } + }, + { + "id": "ac-9.2_prm_2", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "AC-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system notifies the user of the number of \u003cinsert param-id=\"ac-9.2_prm_1\"/\u003e during \u003cinsert param-id=\"ac-9.2_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-9.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-9(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the time period within which the information system must notify the user of the number of:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-9.2_obj_2.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-9(2)[1][a]" + } + ], + "prose": [ + "\u003cp\u003esuccessful logons/accesses; and/or\u003c/p\u003e" + ] + }, + { + "id": "ac-9.2_obj_2.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-9(2)[1][b]" + } + ], + "prose": [ + "\u003cp\u003eunsuccessful logon/access attempts;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-9.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-9(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system, during the organization-defined time period, notifies the user of the number of:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-9.2_obj_2.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-9(2)[2][a]" + } + ], + "prose": [ + "\u003cp\u003esuccessful logons/accesses; and/or\u003c/p\u003e" + ] + }, + { + "id": "ac-9.2_obj_2.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-9(2)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eunsuccessful logon/access attempts.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-9.3", + "class": "SP800-53-enhancement", + "title": "Notification of Account Changes", + "params": [ + { + "id": "ac-9.3_prm_1", + "label": "organization-defined security-related characteristics/parameters of the user’s account" + }, + { + "id": "ac-9.3_prm_2", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "AC-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system notifies the user of changes to \u003cinsert param-id=\"ac-9.3_prm_1\"/\u003e during \u003cinsert param-id=\"ac-9.3_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-9.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-9(3)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security-related characteristics/parameters of a user’s account;\u003c/p\u003e" + ] + }, + { + "id": "ac-9.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-9(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the time period within which changes to organization-defined security-related characteristics/parameters of a user’s account must occur; and\u003c/p\u003e" + ] + }, + { + "id": "ac-9.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-9(3)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system notifies the user of changes to organization-defined security-related characteristics/parameters of the user’s account during the organization-defined time period.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-9.4", + "class": "SP800-53-enhancement", + "title": "Additional Logon Information", + "params": [ + { + "id": "ac-9.4_prm_1", + "label": "organization-defined information to be included in addition to the date and time of the last logon (access)" + } + ], + "props": [ + { + "class": "name", + "value": "AC-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system notifies the user, upon successful logon (access), of the following additional information: \u003cinsert param-id=\"ac-9.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement permits organizations to specify additional information to be provided to users upon logon including, for example, the location of last logon. User location is defined as that information which can be determined by information systems, for example, IP addresses from which network logons occurred, device identifiers, or notifications of local logons.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-9.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-9(4)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information to be included in addition to the date and time of the last logon (access); and\u003c/p\u003e" + ] + }, + { + "id": "ac-9.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-9(4)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system notifies the user, upon successful logon (access), of the organization-defined information to be included in addition to the date and time of the last logon (access).\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing previous logon notification\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access control policy for previous logon notification\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ac-10", + "class": "SP800-53", + "title": "Concurrent Session Control", + "params": [ + { + "id": "ac-10_prm_1", + "label": "organization-defined account and/or account type" + }, + { + "id": "ac-10_prm_2", + "label": "organization-defined number" + } + ], + "props": [ + { + "class": "name", + "value": "AC-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system limits the number of concurrent sessions for each \u003cinsert param-id=\"ac-10_prm_1\"/\u003e to \u003cinsert param-id=\"ac-10_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may define the maximum number of concurrent sessions for information system accounts globally, by account type (e.g., privileged user, non-privileged user, domain, specific application), by account, or a combination. For example, organizations may limit the number of concurrent sessions for system administrators or individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003e Determine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-10_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-10[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines account and/or account types for the information system;\u003c/p\u003e" + ] + }, + { + "id": "ac-10_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-10[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the number of concurrent sessions to be allowed for each organization-defined account and/or account type; and\u003c/p\u003e" + ] + }, + { + "id": "ac-10_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-10[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system limits the number of concurrent sessions for each organization-defined account and/or account type to the organization-defined number of concurrent sessions allowed.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing concurrent session control\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access control policy for concurrent session control\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-11", + "class": "SP800-53", + "title": "Session Lock", + "params": [ + { + "id": "ac-11_prm_1", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "AC-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-11_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-11a." + } + ], + "prose": [ + "\u003cp\u003ePrevents further access to the system by initiating a session lock after \u003cinsert param-id=\"ac-11_prm_1\"/\u003e of inactivity or upon receiving a request from a user; and\u003c/p\u003e" + ] + }, + { + "id": "ac-11_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-11b." + } + ], + "prose": [ + "\u003cp\u003eRetains the session lock until the user reestablishes access using established identification and authentication procedures.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSession locks are temporary actions taken when users stop work and move away from the immediate vicinity of information systems but do not want to log out because of the temporary nature of their absences. Session locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Session locks are not an acceptable substitute for logging out of information systems, for example, if organizations require users to log out at the end of workdays.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003e Determine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-11_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-11(a)" + } + ], + "parts": [ + { + "id": "ac-11_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-11(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the time period of user inactivity after which the information system initiates a session lock;\u003c/p\u003e" + ] + }, + { + "id": "ac-11_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-11(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system prevents further access to the system by initiating a session lock after organization-defined time period of user inactivity or upon receiving a request from a user; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-11_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-11(b)" + } + ], + "prose": [ + "\u003cp\u003ethe information system retains the session lock until the user reestablishes access using established identification and authentication procedures.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing session lock\u003c/p\u003e", + "\u003cp\u003eprocedures addressing identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access control policy for session lock\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-11.1", + "class": "SP800-53-enhancement", + "title": "Pattern-hiding Displays", + "props": [ + { + "class": "name", + "value": "AC-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePublicly viewable images can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the additional caveat that none of the images convey sensitive information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing session lock\u003c/p\u003e", + "\u003cp\u003edisplay screen with session lock activated\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system session lock mechanisms\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ac-12", + "class": "SP800-53", + "title": "Session Termination", + "params": [ + { + "id": "ac-12_prm_1", + "label": "organization-defined conditions or trigger events requiring session disconnect" + } + ], + "props": [ + { + "class": "name", + "value": "AC-12" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system automatically terminates a user session after \u003cinsert param-id=\"ac-12_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the termination of user-initiated logical sessions in contrast to SC-10 which addresses the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user’s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on information system use.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-10" + }, + { + "rel": "related", + "href": "#sc-23" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-12_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-12[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines conditions or trigger events requiring session disconnect; and\u003c/p\u003e" + ] + }, + { + "id": "ac-12_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-12[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system automatically terminates a user session after organization-defined conditions or trigger events requiring session disconnect occurs.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing session termination\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of conditions or trigger events requiring session disconnect\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing user session termination\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-12.1", + "class": "SP800-53-enhancement", + "title": "User-initiated Logouts / Message Displays", + "params": [ + { + "id": "ac-12.1_prm_1", + "label": "organization-defined information resources" + } + ], + "props": [ + { + "class": "name", + "value": "AC-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-12.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-12 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eProvides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to \u003cinsert param-id=\"ac-12.1_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ac-12.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-12 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eDisplays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web-based services. Logout messages for web page access, for example, can be displayed after authenticated sessions have been terminated. However, for some types of interactive sessions including, for example, file transfer protocol (FTP) sessions, information systems typically send logout messages as final messages prior to terminating sessions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-12.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-12(1)(a)" + } + ], + "parts": [ + { + "id": "ac-12.1_obj_1.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-12(1)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information resources for which user authentication is required to gain access to such resources;\u003c/p\u003e" + ] + }, + { + "id": "ac-12.1_obj_1.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-12(1)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides a logout capability for user-initiated communications sessions whenever authentication is used to gain access to organization-defined information resources; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-12.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-12(1)(b)" + } + ], + "prose": [ + "\u003cp\u003ethe information system displays an explicit logout message to users indicating the reliable termination of authenticated communications sessions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing session termination\u003c/p\u003e", + "\u003cp\u003euser logout messages\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system session lock mechanisms\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ac-13", + "class": "SP800-53", + "title": "Supervision and Review - Access Control", + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#au-6" + } + ], + "props": [ + { + "class": "name", + "value": "AC-13" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into AC-2 and AU-6\u003c/i\u003e \u003ci\u003eIncorporated into AC-2 and AU-6\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-14", + "class": "SP800-53", + "title": "Permitted Actions Without Identification or Authentication", + "params": [ + { + "id": "ac-14_prm_1", + "label": "organization-defined user actions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-14" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-14_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-14a." + } + ], + "prose": [ + "\u003cp\u003eIdentifies \u003cinsert param-id=\"ac-14_prm_1\"/\u003e that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and\u003c/p\u003e" + ] + }, + { + "id": "ac-14_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-14b." + } + ], + "prose": [ + "\u003cp\u003eDocuments and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses situations in which organizations determine that no identification or authentication is required in organizational information systems. Organizations may allow a limited number of user actions without identification or authentication including, for example, when individuals access public websites or other publicly accessible federal information systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational information systems without identification and authentication and thus, the values for assignment statements can be none.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#ia-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-14_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-14(a)" + } + ], + "parts": [ + { + "id": "ac-14_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-14(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions;\u003c/p\u003e" + ] + }, + { + "id": "ac-14_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-14(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eidentifies organization-defined user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-14_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-14(b)" + } + ], + "prose": [ + "\u003cp\u003edocuments and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing permitted actions without identification or authentication\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003elist of user actions that can be performed without identification or authentication\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-14.1", + "class": "SP800-53-enhancement", + "title": "Necessary Uses", + "links": [ + { + "rel": "related", + "href": "#ac-14" + } + ], + "props": [ + { + "class": "name", + "value": "AC-14 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into AC-14\u003c/i\u003e \u003ci\u003eIncorporated into AC-14\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-15", + "class": "SP800-53", + "title": "Automated Marking", + "links": [ + { + "rel": "related", + "href": "#mp-3" + } + ], + "props": [ + { + "class": "name", + "value": "AC-15" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into MP-3\u003c/i\u003e \u003ci\u003eIncorporated into MP-3\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-16", + "class": "SP800-53", + "title": "Security Attributes", + "params": [ + { + "id": "ac-16_prm_1", + "label": "organization-defined types of security attributes" + }, + { + "id": "ac-16_prm_2", + "label": "organization-defined security attribute values" + }, + { + "id": "ac-16_prm_3", + "label": "organization-defined security attributes" + }, + { + "id": "ac-16_prm_4", + "label": "organization-defined information systems" + }, + { + "id": "ac-16_prm_5", + "label": "organization-defined values or ranges" + } + ], + "props": [ + { + "class": "name", + "value": "AC-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-16_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-16a." + } + ], + "prose": [ + "\u003cp\u003eProvides the means to associate \u003cinsert param-id=\"ac-16_prm_1\"/\u003e having \u003cinsert param-id=\"ac-16_prm_2\"/\u003e with information in storage, in process, and/or in transmission;\u003c/p\u003e" + ] + }, + { + "id": "ac-16_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-16b." + } + ], + "prose": [ + "\u003cp\u003eEnsures that the security attribute associations are made and retained with the information;\u003c/p\u003e" + ] + }, + { + "id": "ac-16_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-16c." + } + ], + "prose": [ + "\u003cp\u003eEstablishes the permitted \u003cinsert param-id=\"ac-16_prm_3\"/\u003e for \u003cinsert param-id=\"ac-16_prm_4\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ac-16_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-16d." + } + ], + "prose": [ + "\u003cp\u003eDetermines the permitted \u003cinsert param-id=\"ac-16_prm_5\"/\u003e for each of the established security attributes.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. These attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the information system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security attributes to subjects and objects is referred to as binding and is typically inclusive of setting the attribute value and the attribute type. Security attributes when bound to data/information, enables the enforcement of information security policies for access control and information flow control, either through organizational processes or information system functions or mechanisms. The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Organizations can define the types of attributes needed for selected information systems to support missions/business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings could include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations can ensure that the security attribute values are meaningful and relevant. The term security labeling refers to the association of security attributes with subjects and objects represented by internal data structures within organizational information systems, to enable information system-based enforcement of information security policies. Security labels include, for example, access authorizations, data life cycle protection (i.e., encryption and data expiration), nationality, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. The term security marking refers to the association of security attributes with objects in a human-readable form, to enable organizational process-based enforcement of information security policies. The AC-16 base control represents the requirement for user-based attribute association (marking). The enhancements to AC-16 represent additional requirements including information system-based attribute association (labeling). Types of attributes include, for example, classification level for objects and clearance (access authorization) level for subjects. An example of a value for both of these attribute types is Top Secret.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#ac-21" + }, + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-10" + }, + { + "rel": "related", + "href": "#sc-16" + }, + { + "rel": "related", + "href": "#mp-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-16_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(a)" + } + ], + "parts": [ + { + "id": "ac-16_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines types of security attributes to be associated with information:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-16_obj_a.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(a)[1][a]" + } + ], + "prose": [ + "\u003cp\u003ein storage;\u003c/p\u003e" + ] + }, + { + "id": "ac-16_obj_a.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(a)[1][b]" + } + ], + "prose": [ + "\u003cp\u003ein process; and/or\u003c/p\u003e" + ] + }, + { + "id": "ac-16_obj_a.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(a)[1][c]" + } + ], + "prose": [ + "\u003cp\u003ein transmission;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-16_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines security attribute values for organization-defined types of security attributes;\u003c/p\u003e" + ] + }, + { + "id": "ac-16_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eprovides the means to associate organization-defined types of security attributes having organization-defined security attribute values with information:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-16_obj_a.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(a)[3][a]" + } + ], + "prose": [ + "\u003cp\u003ein storage;\u003c/p\u003e" + ] + }, + { + "id": "ac-16_obj_a.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(a)[3][b]" + } + ], + "prose": [ + "\u003cp\u003ein process; and/or\u003c/p\u003e" + ] + }, + { + "id": "ac-16_obj_a.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(a)[3][c]" + } + ], + "prose": [ + "\u003cp\u003ein transmission;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-16_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(b)" + } + ], + "prose": [ + "\u003cp\u003eensures that the security attribute associations are made and retained with the information;\u003c/p\u003e" + ] + }, + { + "id": "ac-16_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(c)" + } + ], + "parts": [ + { + "id": "ac-16_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information systems for which the permitted organization-defined security attributes are to be established;\u003c/p\u003e" + ] + }, + { + "id": "ac-16_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(c)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines security attributes that are permitted for organization-defined information systems;\u003c/p\u003e" + ] + }, + { + "id": "ac-16_obj_c.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(c)[3]" + } + ], + "prose": [ + "\u003cp\u003eestablishes the permitted organization-defined security attributes for organization-defined information systems;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-16_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(d)" + } + ], + "parts": [ + { + "id": "ac-16_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines values or ranges for each of the established security attributes; and\u003c/p\u003e" + ] + }, + { + "id": "ac-16_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(d)[2]" + } + ], + "prose": [ + "\u003cp\u003edetermines the permitted organization-defined values or ranges for each of the established security attributes.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the association of security attributes to information in storage, in process, and in transmission\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational capability supporting and maintaining the association of security attributes to information in storage, in process, and in transmission\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-16.1", + "class": "SP800-53-enhancement", + "title": "Dynamic Attribute Association", + "params": [ + { + "id": "ac-16.1_prm_1", + "label": "organization-defined subjects and objects" + }, + { + "id": "ac-16.1_prm_2", + "label": "organization-defined security policies" + } + ], + "props": [ + { + "class": "name", + "value": "AC-16 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system dynamically associates security attributes with \u003cinsert param-id=\"ac-16.1_prm_1\"/\u003e in accordance with \u003cinsert param-id=\"ac-16.1_prm_2\"/\u003e as information is created and combined.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic association of security attributes is appropriate whenever the security characteristics of information changes over time. Security attributes may change, for example, due to information aggregation issues (i.e., the security characteristics of individual information elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), and changes in the security category of information.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-16.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines subjects and objects to which security attributes are to be dynamically associated as information is created and combined;\u003c/p\u003e" + ] + }, + { + "id": "ac-16.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security policies requiring the information system to dynamically associate security attributes with organization-defined subjects and objects; and\u003c/p\u003e" + ] + }, + { + "id": "ac-16.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(1)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system dynamically associates security attributes with organization-defined subjects and objects in accordance with organization-defined security policies as information is created and combined.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing dynamic association of security attributes to information\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing dynamic association of security attributes to information\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-16.2", + "class": "SP800-53-enhancement", + "title": "Attribute Value Changes by Authorized Individuals", + "props": [ + { + "class": "name", + "value": "AC-16 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security attributes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#au-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system provides authorized individuals (or processes acting on behalf on individuals) the capability to define or change the value of associated security attributes. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the change of security attribute values\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of individuals authorized to change security attributes\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for changing values of security attributes\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms permitting changes to values of security attributes\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-16.3", + "class": "SP800-53-enhancement", + "title": "Maintenance of Attribute Associations by Information System", + "params": [ + { + "id": "ac-16.3_prm_1", + "label": "organization-defined security attributes" + }, + { + "id": "ac-16.3_prm_2", + "label": "organization-defined subjects and objects" + } + ], + "props": [ + { + "class": "name", + "value": "AC-16 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system maintains the association and integrity of \u003cinsert param-id=\"ac-16.3_prm_1\"/\u003e to \u003cinsert param-id=\"ac-16.3_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMaintaining the association and integrity of security attributes to subjects and objects with sufficient assurance helps to ensure that the attribute associations can be used as the basis of automated policy actions. Automated policy actions include, for example, access control decisions or information flow control decisions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-16.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(3)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security attributes to be associated with organization-defined subjects and objects;\u003c/p\u003e" + ] + }, + { + "id": "ac-16.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines subjects and objects requiring the association and integrity of security attributes to such subjects and objects to be maintained; and\u003c/p\u003e" + ] + }, + { + "id": "ac-16.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(3)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system maintains the association and integrity of organization-defined security attributes to organization-defined subjects and objects.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the association of security attributes to information\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms maintaining association and integrity of security attributes to information\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-16.4", + "class": "SP800-53-enhancement", + "title": "Association of Attributes by Authorized Individuals", + "params": [ + { + "id": "ac-16.4_prm_1", + "label": "organization-defined security attributes" + }, + { + "id": "ac-16.4_prm_2", + "label": "organization-defined subjects and objects" + } + ], + "props": [ + { + "class": "name", + "value": "AC-16 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system supports the association of \u003cinsert param-id=\"ac-16.4_prm_1\"/\u003e with \u003cinsert param-id=\"ac-16.4_prm_2\"/\u003e by authorized individuals (or processes acting on behalf of individuals).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe support provided by information systems can vary to include: (i) prompting users to select specific security attributes to be associated with specific information objects; (ii) employing automated mechanisms for categorizing information with appropriate attributes based on defined policies; or (iii) ensuring that the combination of selected security attributes selected is valid. Organizations consider the creation, deletion, or modification of security attributes when defining auditable events.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-16.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(4)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security attributes to be associated with subjects and objects by authorized individuals (or processes acting on behalf of individuals);\u003c/p\u003e" + ] + }, + { + "id": "ac-16.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(4)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines subjects and objects requiring the association of organization-defined security attributes by authorized individuals (or processes acting on behalf of individuals); and\u003c/p\u003e" + ] + }, + { + "id": "ac-16.4_obj_4.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(4)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system supports the association of organization-defined security attributes with organization-defined subjects and objects by authorized individuals (or processes acting on behalf of individuals).\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the association of security attributes to information\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of users authorized to associate security attributes to information\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for associating security attributes to information\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting user associations of security attributes to information\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-16.5", + "class": "SP800-53-enhancement", + "title": "Attribute Displays for Output Devices", + "params": [ + { + "id": "ac-16.5_prm_1", + "label": "organization-identified special dissemination, handling, or distribution instructions" + }, + { + "id": "ac-16.5_prm_2", + "label": "organization-identified human-readable, standard naming conventions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-16 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify \u003cinsert param-id=\"ac-16.5_prm_1\"/\u003e using \u003cinsert param-id=\"ac-16.5_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system outputs include, for example, pages, screens, or equivalent. Information system output devices include, for example, printers and video displays on computer workstations, notebook computers, and personal digital assistants.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-16.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(5)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization identifies special dissemination, handling, or distribution instructions to be used for each object that the information system transmits to output devices;\u003c/p\u003e" + ] + }, + { + "id": "ac-16.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(5)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization identifies human-readable, standard naming conventions for the security attributes to be displayed in human-readable form on each object that the information system transmits to output devices; and\u003c/p\u003e" + ] + }, + { + "id": "ac-16.5_obj_5.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(5)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system displays security attributes in human-readable form on each object that the system transmits to output devices to identify organization-identified special dissemination, handling, or distribution instructions using organization-identified human readable, standard naming conventions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing display of security attributes in human-readable form\u003c/p\u003e", + "\u003cp\u003especial dissemination, handling, or distribution instructions\u003c/p\u003e", + "\u003cp\u003etypes of human-readable, standard naming conventions\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem output devices displaying security attributes in human-readable form on each object\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-16.6", + "class": "SP800-53-enhancement", + "title": "Maintenance of Attribute Association by Organization", + "params": [ + { + "id": "ac-16.6_prm_1", + "label": "organization-defined security attributes" + }, + { + "id": "ac-16.6_prm_2", + "label": "organization-defined subjects and objects" + }, + { + "id": "ac-16.6_prm_3", + "label": "organization-defined security policies" + } + ], + "props": [ + { + "class": "name", + "value": "AC-16 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization allows personnel to associate, and maintain the association of \u003cinsert param-id=\"ac-16.6_prm_1\"/\u003e with \u003cinsert param-id=\"ac-16.6_prm_2\"/\u003e in accordance with \u003cinsert param-id=\"ac-16.6_prm_3\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires individual users (as opposed to the information system) to maintain associations of security attributes with subjects and objects.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-16.6_obj_6.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(6)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security attributes to be associated with subjects and objects;\u003c/p\u003e" + ] + }, + { + "id": "ac-16.6_obj_6.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(6)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines subjects and objects to be associated with organization-defined security attributes;\u003c/p\u003e" + ] + }, + { + "id": "ac-16.6_obj_6.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(6)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines security policies to allow personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects; and\u003c/p\u003e" + ] + }, + { + "id": "ac-16.6_obj_6.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(6)[4]" + } + ], + "prose": [ + "\u003cp\u003eallows personnel to associate, and maintain the association of organization-defined security attributes with organization-defined subjects and objects in accordance with organization-defined security policies.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing association of security attributes with subjects and objects\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for associating and maintaining association of security attributes with subjects and objects\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting associations of security attributes to subjects and objects\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-16.7", + "class": "SP800-53-enhancement", + "title": "Consistent Attribute Interpretation", + "props": [ + { + "class": "name", + "value": "AC-16 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides a consistent interpretation of security attributes transmitted between distributed information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn order to enforce security policies across multiple components in distributed information systems (e.g., distributed database management systems, cloud-based systems, and service-oriented architectures), organizations provide a consistent interpretation of security attributes that are used in access enforcement and flow enforcement decisions. Organizations establish agreements and processes to ensure that all distributed information system components implement security attributes with consistent interpretations in automated access/flow enforcement actions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization provides a consistent interpretation of security attributes transmitted between distributed information system components. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing consistent interpretation of security attributes transmitted between distributed information system components\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information flow enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for providing consistent interpretation of security attributes used in access enforcement and information flow enforcement actions\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access enforcement and information flow enforcement functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-16.8", + "class": "SP800-53-enhancement", + "title": "Association Techniques / Technologies", + "params": [ + { + "id": "ac-16.8_prm_1", + "label": "organization-defined techniques or technologies" + }, + { + "id": "ac-16.8_prm_2", + "label": "organization-defined level of assurance" + } + ], + "props": [ + { + "class": "name", + "value": "AC-16 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements \u003cinsert param-id=\"ac-16.8_prm_1\"/\u003e with \u003cinsert param-id=\"ac-16.8_prm_2\"/\u003e in associating security attributes to information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe association (i.e., binding) of security attributes to information within information systems is of significant importance with regard to conducting automated access enforcement and flow enforcement actions. The association of such security attributes can be accomplished with technologies/techniques providing different levels of assurance. For example, information systems can cryptographically bind security attributes to information using digital signatures with the supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-16.8_obj_8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(8)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines techniques or technologies to be implemented in associating security attributes to information;\u003c/p\u003e" + ] + }, + { + "id": "ac-16.8_obj_8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(8)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines level of assurance to be provided when the information system implements organization-defined technologies or technologies to associate security attributes to information; and\u003c/p\u003e" + ] + }, + { + "id": "ac-16.8_obj_8.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(8)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements organization-defined techniques or technologies with organization-defined level of assurance in associating security attributes to information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing association of security attributes to information\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for associating security attributes to information\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing techniques or technologies associating security attributes to information\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-16.9", + "class": "SP800-53-enhancement", + "title": "Attribute Reassignment", + "params": [ + { + "id": "ac-16.9_prm_1", + "label": "organization-defined techniques or procedures" + } + ], + "props": [ + { + "class": "name", + "value": "AC-16 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using \u003cinsert param-id=\"ac-16.9_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eValidated re-grading mechanisms are employed by organizations to provide the requisite levels of assurance for security attribute reassignment activities. The validation is facilitated by ensuring that re-grading mechanisms are single purpose and of limited function. Since security attribute reassignments can affect security policy enforcement actions (e.g., access/flow enforcement decisions), using trustworthy re-grading mechanisms is necessary to ensure that such mechanisms perform in a consistent/correct mode of operation.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-16.9_obj_9.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(9)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines techniques or procedures to validate re-grading mechanisms used to reassign association of security attributes with information; and\u003c/p\u003e" + ] + }, + { + "id": "ac-16.9_obj_9.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-16(9)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using organization-defined techniques or procedures.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing reassignment of security attributes to information\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for reassigning association of security attributes to information\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing techniques or procedures for reassigning association of security attributes to information\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-16.10", + "class": "SP800-53-enhancement", + "title": "Attribute Configuration by Authorized Individuals", + "props": [ + { + "class": "name", + "value": "AC-16 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for information systems to be able to limit the ability to create or modify security attributes to authorized individuals only.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing configuration of security attributes by authorized individuals\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for defining or changing security attributes associated with information\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing capability for defining or changing security attributes\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ac-17", + "class": "SP800-53", + "title": "Remote Access", + "props": [ + { + "class": "name", + "value": "AC-17" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-17_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-17a." + } + ], + "prose": [ + "\u003cp\u003eEstablishes and documents usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and\u003c/p\u003e" + ] + }, + { + "id": "ac-17_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-17b." + } + ], + "prose": [ + "\u003cp\u003eAuthorizes remote access to the information system prior to allowing such connections.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRemote access is access to organizational information systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g., employing appropriate encryption techniques for confidentiality and integrity protection) may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can affect the organizational capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to information systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#ac-20" + }, + { + "rel": "related", + "href": "#ca-3" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cm-8" + }, + { + "rel": "related", + "href": "#ia-2" + }, + { + "rel": "related", + "href": "#ia-3" + }, + { + "rel": "related", + "href": "#ia-8" + }, + { + "rel": "related", + "href": "#ma-4" + }, + { + "rel": "related", + "href": "#pe-17" + }, + { + "rel": "related", + "href": "#pl-4" + }, + { + "rel": "related", + "href": "#sc-10" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-17_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(a)" + } + ], + "parts": [ + { + "id": "ac-17_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eidentifies the types of remote access allowed to the information system;\u003c/p\u003e" + ] + }, + { + "id": "ac-17_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eestablishes for each type of remote access allowed:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-17_obj_a.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(a)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eusage restrictions;\u003c/p\u003e" + ] + }, + { + "id": "ac-17_obj_a.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(a)[2][b]" + } + ], + "prose": [ + "\u003cp\u003econfiguration/connection requirements;\u003c/p\u003e" + ] + }, + { + "id": "ac-17_obj_a.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(a)[2][c]" + } + ], + "prose": [ + "\u003cp\u003eimplementation guidance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-17_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(a)[3]" + } + ], + "prose": [ + "\u003cp\u003edocuments for each type of remote access allowed:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-17_obj_a.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(a)[3][a]" + } + ], + "prose": [ + "\u003cp\u003eusage restrictions;\u003c/p\u003e" + ] + }, + { + "id": "ac-17_obj_a.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(a)[3][b]" + } + ], + "prose": [ + "\u003cp\u003econfiguration/connection requirements;\u003c/p\u003e" + ] + }, + { + "id": "ac-17_obj_a.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(a)[3][c]" + } + ], + "prose": [ + "\u003cp\u003eimplementation guidance; and\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-17_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(b)" + } + ], + "prose": [ + "\u003cp\u003eauthorizes remote access to the information system prior to allowing such connections.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing remote access implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eremote access authorizations\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for managing remote access connections\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eRemote access management capability for the information system\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-17.1", + "class": "SP800-53-enhancement", + "title": "Automated Monitoring / Control", + "props": [ + { + "class": "name", + "value": "AC-17 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system monitors and controls remote access methods.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated monitoring and control of remote access sessions allows organizations to detect cyber attacks and also ensure ongoing compliance with remote access policies by auditing connection activities of remote users on a variety of information system components (e.g., servers, workstations, notebook computers, smart phones, and tablets).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system monitors and controls remote access methods. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms monitoring and controlling remote access methods\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-17.2", + "class": "SP800-53-enhancement", + "title": "Protection of Confidentiality / Integrity Using Encryption", + "props": [ + { + "class": "name", + "value": "AC-17 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe encryption strength of mechanism is selected based on the security categorization of the information.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-8" + }, + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ecryptographic mechanisms and associated configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eCryptographic mechanisms protecting confidentiality and integrity of remote access sessions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-17.3", + "class": "SP800-53-enhancement", + "title": "Managed Access Control Points", + "params": [ + { + "id": "ac-17.3_prm_1", + "label": "organization-defined number" + } + ], + "props": [ + { + "class": "name", + "value": "AC-17 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system routes all remote accesses through \u003cinsert param-id=\"ac-17.3_prm_1\"/\u003e managed network access control points.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLimiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the Trusted Internet Connections (TIC) initiative requirements for external network connections.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-17.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(3)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the number of managed network access control points through which all remote accesses are to be routed; and\u003c/p\u003e" + ] + }, + { + "id": "ac-17.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system routes all remote accesses through the organization-defined number of managed network access control points.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003elist of all managed network access control points\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms routing all remote accesses through managed network access control points\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-17.4", + "class": "SP800-53-enhancement", + "title": "Privileged Commands / Access", + "params": [ + { + "id": "ac-17.4_prm_1", + "label": "organization-defined needs" + } + ], + "props": [ + { + "class": "name", + "value": "AC-17 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-17.4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-17 (4)(a)" + } + ], + "prose": [ + "\u003cp\u003eAuthorizes the execution of privileged commands and access to security-relevant information via remote access only for \u003cinsert param-id=\"ac-17.4_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ac-17.4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-17 (4)(b)" + } + ], + "prose": [ + "\u003cp\u003eDocuments the rationale for such access in the security plan for the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ac-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-17.4_obj_4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(4)(a)" + } + ], + "parts": [ + { + "id": "ac-17.4_obj_4.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(4)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines needs to authorize the execution of privileged commands and access to security-relevant information via remote access;\u003c/p\u003e" + ] + }, + { + "id": "ac-17.4_obj_4.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(4)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eauthorizes the execution of privileged commands and access to security-relevant information via remote access only for organization-defined needs; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-17.4_obj_4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(4)(b)" + } + ], + "prose": [ + "\u003cp\u003edocuments the rationale for such access in the information system security plan.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing remote access management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-17.5", + "class": "SP800-53-enhancement", + "title": "Monitoring for Unauthorized Connections", + "links": [ + { + "rel": "related", + "href": "#si-4" + } + ], + "props": [ + { + "class": "name", + "value": "AC-17 (5)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SI-4\u003c/i\u003e \u003ci\u003eIncorporated into SI-4\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-17.6", + "class": "SP800-53-enhancement", + "title": "Protection of Information", + "props": [ + { + "class": "name", + "value": "AC-17 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#at-2" + }, + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#ps-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing remote access to the information system\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for implementing or monitoring remote access to the information system\u003c/p\u003e", + "\u003cp\u003einformation system users with knowledge of information about remote access mechanisms\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-17.7", + "class": "SP800-53-enhancement", + "title": "Additional Protection for Security Function Access", + "links": [ + { + "rel": "related", + "href": "#ac-3.10" + } + ], + "props": [ + { + "class": "name", + "value": "AC-17 (7)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into AC-3 (10)\u003c/i\u003e \u003ci\u003eIncorporated into AC-3 (10)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-17.8", + "class": "SP800-53-enhancement", + "title": "Disable Nonsecure Network Protocols", + "links": [ + { + "rel": "related", + "href": "#cm-7" + } + ], + "props": [ + { + "class": "name", + "value": "AC-17 (8)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CM-7\u003c/i\u003e \u003ci\u003eIncorporated into CM-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-17.9", + "class": "SP800-53-enhancement", + "title": "Disconnect / Disable Access", + "params": [ + { + "id": "ac-17.9_prm_1", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "AC-17 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides the capability to expeditiously disconnect or disable remote access to the information system within \u003cinsert param-id=\"ac-17.9_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the information system and/or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions/business functions and the need to eliminate immediate or future remote access to organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-17.9_obj_9.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(9)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period within which to expeditiously disconnect or disable remote access to the information system; and\u003c/p\u003e" + ] + }, + { + "id": "ac-17.9_obj_9.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-17(9)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides the capability to expeditiously disconnect or disable remote access to the information system within the organization-defined time period.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing disconnecting or disabling remote access to the information system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan, information system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing capability to disconnect or disable remote access to information system\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ac-18", + "class": "SP800-53", + "title": "Wireless Access", + "props": [ + { + "class": "name", + "value": "AC-18" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-18_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-18a." + } + ], + "prose": [ + "\u003cp\u003eEstablishes usage restrictions, configuration/connection requirements, and implementation guidance for wireless access; and\u003c/p\u003e" + ] + }, + { + "id": "ac-18_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-18b." + } + ], + "prose": [ + "\u003cp\u003eAuthorizes wireless access to the information system prior to allowing such connections.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#ca-3" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cm-8" + }, + { + "rel": "related", + "href": "#ia-2" + }, + { + "rel": "related", + "href": "#ia-3" + }, + { + "rel": "related", + "href": "#ia-8" + }, + { + "rel": "related", + "href": "#pl-4" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-18_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-18(a)" + } + ], + "prose": [ + "\u003cp\u003eestablishes for wireless access:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-18_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-18(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eusage restrictions;\u003c/p\u003e" + ] + }, + { + "id": "ac-18_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-18(a)[2]" + } + ], + "prose": [ + "\u003cp\u003econfiguration/connection requirement;\u003c/p\u003e" + ] + }, + { + "id": "ac-18_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-18(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eimplementation guidance; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-18_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-18(b)" + } + ], + "prose": [ + "\u003cp\u003eauthorizes wireless access to the information system prior to allowing such connections.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing wireless access implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ewireless access authorizations\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for managing wireless access connections\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eWireless access management capability for the information system\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-18.1", + "class": "SP800-53-enhancement", + "title": "Authentication and Encryption", + "params": [ + { + "id": "ac-18.1_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "users" + }, + { + "assignments": null, + "Value": "devices" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "AC-18 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system protects wireless access to the system using authentication of \u003cinsert param-id=\"ac-18.1_prm_1\"/\u003e and encryption.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#sc-8" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system protects wireless access to the system using encryption and one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-18.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-18(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eauthentication of users; and/or\u003c/p\u003e" + ] + }, + { + "id": "ac-18.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-18(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eauthentication of devices.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing wireless implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing wireless access protections to the information system\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-18.2", + "class": "SP800-53-enhancement", + "title": "Monitoring Unauthorized Connections", + "links": [ + { + "rel": "related", + "href": "#si-4" + } + ], + "props": [ + { + "class": "name", + "value": "AC-18 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SI-4\u003c/i\u003e \u003ci\u003eIncorporated into SI-4\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-18.3", + "class": "SP800-53-enhancement", + "title": "Disable Wireless Networking", + "props": [ + { + "class": "name", + "value": "AC-18 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ac-19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing wireless implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms managing the disabling of wireless networking capabilities internally embedded within information system components\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-18.4", + "class": "SP800-53-enhancement", + "title": "Restrict Configurations by Users", + "props": [ + { + "class": "name", + "value": "AC-18 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization identifies and explicitly authorizes users allowed to independently configure wireless networking capabilities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#sc-15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-18.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-18(4)[1]" + } + ], + "prose": [ + "\u003cp\u003eidentifies users allowed to independently configure wireless networking capabilities; and\u003c/p\u003e" + ] + }, + { + "id": "ac-18.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-18(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eexplicitly authorizes the identified users allowed to independently configure wireless networking capabilities.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing wireless implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms authorizing independent user configuration of wireless networking capabilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-18.5", + "class": "SP800-53-enhancement", + "title": "Antennas / Transmission Power Levels", + "props": [ + { + "class": "name", + "value": "AC-18 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization selects radio antennas and calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eActions that may be taken by organizations to limit unauthorized use of wireless communications outside of organization-controlled boundaries include, for example: (i) reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be used by adversaries outside of the physical perimeters of organizations; (ii) employing measures such as TEMPEST to control wireless emanations; and (iii) using directional/beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational information systems as well as other systems that may be operating in the area.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-18.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-18(5)[1]" + } + ], + "prose": [ + "\u003cp\u003eselects radio antennas to reduce the probability that usable signals can be received outside of organization-controlled boundaries; and\u003c/p\u003e" + ] + }, + { + "id": "ac-18.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-18(5)[2]" + } + ], + "prose": [ + "\u003cp\u003ecalibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing wireless implementation and usage (including restrictions)\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eWireless access capability protecting usable signals from unauthorized access outside organization-controlled boundaries\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ac-19", + "class": "SP800-53", + "title": "Access Control for Mobile Devices", + "props": [ + { + "class": "name", + "value": "AC-19" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-19_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-19a." + } + ], + "prose": [ + "\u003cp\u003eEstablishes usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices; and\u003c/p\u003e" + ] + }, + { + "id": "ac-19_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-19b." + } + ], + "prose": [ + "\u003cp\u003eAuthorizes the connection of mobile devices to organizational information systems.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA mobile device is a computing device that: (i) has a small form factor such that it can easily be carried by a single individual; (ii) is designed to operate without a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, non-removable or removable data storage; and (iv) includes a self-contained power source. Mobile devices may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually in close proximity to the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of desktop systems, depending upon the nature and intended purpose of the device. Due to the large variety of mobile devices with different technical characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards and countermeasures for mobile devices are reflected in other security controls in the catalog allocated in the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some degree of overlap in the requirements articulated by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-7" + }, + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#ac-20" + }, + { + "rel": "related", + "href": "#ca-9" + }, + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#ia-2" + }, + { + "rel": "related", + "href": "#ia-3" + }, + { + "rel": "related", + "href": "#mp-2" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#mp-5" + }, + { + "rel": "related", + "href": "#pl-4" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#sc-43" + }, + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003e Determine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-19_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(a)" + } + ], + "prose": [ + "\u003cp\u003eestablishes for organization-controlled mobile devices:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-19_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eusage restrictions;\u003c/p\u003e" + ] + }, + { + "id": "ac-19_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(a)[2]" + } + ], + "prose": [ + "\u003cp\u003econfiguration/connection requirement;\u003c/p\u003e" + ] + }, + { + "id": "ac-19_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eimplementation guidance; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-19_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(b)" + } + ], + "prose": [ + "\u003cp\u003eauthorizes the connection of mobile devices to organizational information systems.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access control for mobile device usage (including restrictions)\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eauthorizations for mobile device connections to organizational information systems\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel using mobile devices to access organizational information systems\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control capability authorizing mobile device connections to organizational information systems\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-19.1", + "class": "SP800-53-enhancement", + "title": "Use of Writable / Portable Storage Devices", + "links": [ + { + "rel": "related", + "href": "#mp-7" + } + ], + "props": [ + { + "class": "name", + "value": "AC-19 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into MP-7\u003c/i\u003e \u003ci\u003eIncorporated into MP-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-19.2", + "class": "SP800-53-enhancement", + "title": "Use of Personally Owned Portable Storage Devices", + "links": [ + { + "rel": "related", + "href": "#mp-7" + } + ], + "props": [ + { + "class": "name", + "value": "AC-19 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into MP-7\u003c/i\u003e \u003ci\u003eIncorporated into MP-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-19.3", + "class": "SP800-53-enhancement", + "title": "Use of Portable Storage Devices with No Identifiable Owner", + "links": [ + { + "rel": "related", + "href": "#mp-7" + } + ], + "props": [ + { + "class": "name", + "value": "AC-19 (3)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into MP-7\u003c/i\u003e \u003ci\u003eIncorporated into MP-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-19.4", + "class": "SP800-53-enhancement", + "title": "Restrictions for Classified Information", + "params": [ + { + "id": "ac-19.4_prm_1", + "label": "organization-defined security officials" + }, + { + "id": "ac-19.4_prm_2", + "label": "organization-defined security policies" + } + ], + "props": [ + { + "class": "name", + "value": "AC-19 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-19.4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-19 (4)(a)" + } + ], + "prose": [ + "\u003cp\u003eProhibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and\u003c/p\u003e" + ] + }, + { + "id": "ac-19.4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)" + } + ], + "prose": [ + "\u003cp\u003eEnforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-19.4_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(1)" + } + ], + "prose": [ + "\u003cp\u003eConnection of unclassified mobile devices to classified information systems is prohibited;\u003c/p\u003e" + ] + }, + { + "id": "ac-19.4_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(2)" + } + ], + "prose": [ + "\u003cp\u003eConnection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;\u003c/p\u003e" + ] + }, + { + "id": "ac-19.4_smt_b.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(3)" + } + ], + "prose": [ + "\u003cp\u003eUse of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and\u003c/p\u003e" + ] + }, + { + "id": "ac-19.4_smt_b.4", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-19 (4)(b)(4)" + } + ], + "prose": [ + "\u003cp\u003eUnclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by \u003cinsert param-id=\"ac-19.4_prm_1\"/\u003e, and if classified information is found, the incident handling policy is followed.\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-19.4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-19 (4)(c)" + } + ], + "prose": [ + "\u003cp\u003eRestricts the connection of classified mobile devices to classified information systems in accordance with \u003cinsert param-id=\"ac-19.4_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ca-6" + }, + { + "rel": "related", + "href": "#ir-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-19.4_obj_4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(4)(a)" + } + ], + "prose": [ + "\u003cp\u003eprohibits the use of unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official;\u003c/p\u003e" + ] + }, + { + "id": "ac-19.4_obj_4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)" + } + ], + "prose": [ + "\u003cp\u003eenforces the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing information systems processing, storing, or transmitting classified information:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-19.4_obj_4.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(1)" + } + ], + "prose": [ + "\u003cp\u003econnection of unclassified mobile devices to classified information systems is prohibited;\u003c/p\u003e" + ] + }, + { + "id": "ac-19.4_obj_4.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(2)" + } + ], + "prose": [ + "\u003cp\u003econnection of unclassified mobile devices to unclassified information systems requires approval from the authorizing official;\u003c/p\u003e" + ] + }, + { + "id": "ac-19.4_obj_4.b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(3)" + } + ], + "prose": [ + "\u003cp\u003euse of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited;\u003c/p\u003e" + ] + }, + { + "id": "ac-19.4_obj_4.b.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(4)" + } + ], + "parts": [ + { + "id": "ac-19.4_obj_4.b.4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security officials responsible for reviews and inspections of unclassified mobile devices and the information stored on those devices;\u003c/p\u003e" + ] + }, + { + "id": "ac-19.4_obj_4.b.4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eunclassified mobile devices and the information stored on those devices are subject to random reviews/inspections by organization-defined security officials;\u003c/p\u003e" + ] + }, + { + "id": "ac-19.4_obj_4.b.4.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(4)(b)(4)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe incident handling policy is followed if classified information is found;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-19.4_obj_4.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(4)(c)" + } + ], + "parts": [ + { + "id": "ac-19.4_obj_4.c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(4)(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security policies to restrict the connection of classified mobile devices to classified information systems; and\u003c/p\u003e" + ] + }, + { + "id": "ac-19.4_obj_4.c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(4)(c)[2]" + } + ], + "prose": [ + "\u003cp\u003erestricts the connection of classified mobile devices to classified information systems in accordance with organization-defined security policies.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eincident handling policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access control for mobile devices\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eevidentiary documentation for random inspections and reviews of mobile devices\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel responsible for random reviews/inspections of mobile devices\u003c/p\u003e", + "\u003cp\u003eorganizational personnel using mobile devices in facilities containing information systems processing, storing, or transmitting classified information\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms prohibiting the use of internal or external modems or wireless interfaces with mobile devices\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-19.5", + "class": "SP800-53-enhancement", + "title": "Full Device / Container-based Encryption", + "params": [ + { + "id": "ac-19.5_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "full-device encryption" + }, + { + "assignments": null, + "Value": "container encryption" + } + ] + } + }, + { + "id": "ac-19.5_prm_2", + "label": "organization-defined mobile devices" + } + ], + "props": [ + { + "class": "name", + "value": "AC-19 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"ac-19.5_prm_1\"/\u003e to protect the confidentiality and integrity of information on \u003cinsert param-id=\"ac-19.5_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContainer-based encryption provides a more fine-grained approach to the encryption of data/information on mobile devices, including for example, encrypting selected data structures such as files, records, or fields.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#mp-5" + }, + { + "rel": "related", + "href": "#sc-13" + }, + { + "rel": "related", + "href": "#sc-28" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-19.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines mobile devices for which full-device encryption or container encryption is required to protect the confidentiality and integrity of information on such devices; and\u003c/p\u003e" + ] + }, + { + "id": "ac-19.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-19(5)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys full-device encryption or container encryption to protect the confidentiality and integrity of information on organization-defined mobile devices.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access control for mobile devices\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eencryption mechanism s and associated configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access control responsibilities for mobile devices\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eEncryption mechanisms protecting confidentiality and integrity of information on mobile devices\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ac-20", + "class": "SP800-53", + "title": "Use of External Information Systems", + "props": [ + { + "class": "name", + "value": "AC-20" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-20_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-20a." + } + ], + "prose": [ + "\u003cp\u003eAccess the information system from external information systems; and\u003c/p\u003e" + ] + }, + { + "id": "ac-20_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-20b." + } + ], + "prose": [ + "\u003cp\u003eProcess, store, or transmit organization-controlled information using external information systems.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal information systems are information systems or components of information systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External information systems include, for example: (i) personally owned information systems/devices (e.g., notebook computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, train stations, convention centers, shopping malls, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of organizations. This control also addresses the use of external information systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) from organizational information systems. For some external information systems (i.e., information systems operated by other federal agencies, including organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Information systems within these organizations would not be considered external. These situations occur when, for example, there are pre-existing sharing/trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational information systems and over which organizations have the authority to impose rules of behavior with regard to system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending upon the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. This control does not apply to the use of external information systems to access public interfaces to organizational information systems (e.g., individuals accessing federal information through www.usa.gov). Organizations establish terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: types of applications that can be accessed on organizational information systems from external information systems; and the highest security category of information that can be processed, stored, or transmitted on external information systems. If terms and conditions with the owners of external information systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#ca-3" + }, + { + "rel": "related", + "href": "#pl-4" + }, + { + "rel": "related", + "href": "#sa-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-20_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-20(a)" + } + ], + "prose": [ + "\u003cp\u003eaccess the information system from the external information systems; and\u003c/p\u003e" + ] + }, + { + "id": "ac-20_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-20(b)" + } + ], + "prose": [ + "\u003cp\u003eprocess, store, or transmit organization-controlled information using external information systems.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the use of external information systems\u003c/p\u003e", + "\u003cp\u003eexternal information systems terms and conditions\u003c/p\u003e", + "\u003cp\u003elist of types of applications accessible from external information systems\u003c/p\u003e", + "\u003cp\u003emaximum security categorization for information processed, stored, or transmitted on external information systems\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for defining terms and conditions for use of external information systems to access organizational systems\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing terms and conditions on use of external information systems\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-20.1", + "class": "SP800-53-enhancement", + "title": "Limits On Authorized Use", + "props": [ + { + "class": "name", + "value": "AC-20 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-20.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-20 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eVerifies the implementation of required security controls on the external system as specified in the organization’s information security policy and security plan; or\u003c/p\u003e" + ] + }, + { + "id": "ac-20.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-20 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eRetains approved information system connection or processing agreements with the organizational entity hosting the external information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement recognizes that there are circumstances where individuals using external information systems (e.g., contractors, coalition partners) need to access organizational information systems. In those situations, organizations need confidence that the external information systems contain the necessary security safeguards (i.e., security controls), so as not to compromise, damage, or otherwise harm organizational information systems. Verification that the required security controls have been implemented can be achieved, for example, by third-party, independent assessments, attestations, or other means, depending on the confidence level required by organizations.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-20.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-20(1)(a)" + } + ], + "prose": [ + "\u003cp\u003everifies the implementation of required security controls on the external system as specified in the organization’s information security policy and security plan; or\u003c/p\u003e" + ] + }, + { + "id": "ac-20.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-20(1)(b)" + } + ], + "prose": [ + "\u003cp\u003eretains approved information system connection or processing agreements with the organizational entity hosting the external information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the use of external information systems\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system connection or processing agreements\u003c/p\u003e", + "\u003cp\u003eaccount management documents\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing limits on use of external information systems\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-20.2", + "class": "SP800-53-enhancement", + "title": "Portable Storage Devices", + "params": [ + { + "id": "ac-20.2_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "restricts" + }, + { + "assignments": null, + "Value": "prohibits" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "AC-20 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization \u003cinsert param-id=\"ac-20.2_prm_1\"/\u003e the use of organization-controlled portable storage devices by authorized individuals on external information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLimits on the use of organization-controlled portable storage devices in external information systems include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization restricts or prohibits the use of organization-controlled portable storage devices by authorized individuals on external information systems. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the use of external information systems\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system connection or processing agreements\u003c/p\u003e", + "\u003cp\u003eaccount management documents\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for restricting or prohibiting use of organization-controlled storage devices on external information systems\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing restrictions on use of portable storage devices\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-20.3", + "class": "SP800-53-enhancement", + "title": "Non-organizationally Owned Systems / Components / Devices", + "params": [ + { + "id": "ac-20.3_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "restricts" + }, + { + "assignments": null, + "Value": "prohibits" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "AC-20 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization \u003cinsert param-id=\"ac-20.3_prm_1\"/\u003e the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNon-organizationally owned devices include devices owned by other organizations (e.g., federal/state agencies, contractors) and personally owned devices. There are risks to using non-organizationally owned devices. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, it may be such that the use of non-organizationally owned devices is allowed but restricted in some way. Restrictions include, for example: (i) requiring the implementation of organization-approved security controls prior to authorizing such connections; (ii) limiting access to certain types of information, services, or applications; (iii) using virtualization techniques to limit processing and storage activities to servers or other system components provisioned by the organization; and (iv) agreeing to terms and conditions for usage. For personally owned devices, organizations consult with the Office of the General Counsel regarding legal issues associated with using such devices in operational environments, including, for example, requirements for conducting forensic analyses during investigations after an incident.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization restricts or prohibits the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the use of external information systems\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system connection or processing agreements\u003c/p\u003e", + "\u003cp\u003eaccount management documents\u003c/p\u003e", + "\u003cp\u003einformation system audit records, other relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for restricting or prohibiting use of non-organizationally owned information systems, system components, or devices\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing restrictions on the use of non-organizationally owned systems/components/devices\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-20.4", + "class": "SP800-53-enhancement", + "title": "Network Accessible Storage Devices", + "params": [ + { + "id": "ac-20.4_prm_1", + "label": "organization-defined network accessible storage devices" + } + ], + "props": [ + { + "class": "name", + "value": "AC-20 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization prohibits the use of \u003cinsert param-id=\"ac-20.4_prm_1\"/\u003e in external information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNetwork accessible storage devices in external information systems include, for example, online storage devices in public, hybrid, or community cloud-based systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-20.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-20(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines network accessible storage devices to be prohibited from use in external information systems; and\u003c/p\u003e" + ] + }, + { + "id": "ac-20.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-20(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eprohibits the use of organization-defined network accessible storage devices in external information systems.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing use of network accessible storage devices in external information systems\u003c/p\u003e", + "\u003cp\u003esecurity plan, information system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system connection or processing agreements\u003c/p\u003e", + "\u003cp\u003elist of network accessible storage devices prohibited from use in external information systems\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for prohibiting use of network accessible storage devices in external information systems\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms prohibiting the use of network accessible storage devices in external information systems\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ac-21", + "class": "SP800-53", + "title": "Information Sharing", + "params": [ + { + "id": "ac-21_prm_1", + "label": "organization-defined information sharing circumstances where user discretion is required" + }, + { + "id": "ac-21_prm_2", + "label": "organization-defined automated mechanisms or manual processes" + } + ], + "props": [ + { + "class": "name", + "value": "AC-21" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-21_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-21a." + } + ], + "prose": [ + "\u003cp\u003eFacilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for \u003cinsert param-id=\"ac-21_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ac-21_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-21b." + } + ], + "prose": [ + "\u003cp\u003eEmploys \u003cinsert param-id=\"ac-21_prm_2\"/\u003e to assist users in making information sharing/collaboration decisions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to information that may be restricted in some manner (e.g., privileged medical information, contract-sensitive information, proprietary information, personally identifiable information, classified information related to special access programs or compartments) based on some formal or administrative determination. Depending on the particular information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-21_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-21(a)" + } + ], + "parts": [ + { + "id": "ac-21_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-21(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information sharing circumstances where user discretion is required;\u003c/p\u003e" + ] + }, + { + "id": "ac-21_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-21(a)[2]" + } + ], + "prose": [ + "\u003cp\u003efacilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for organization-defined information sharing circumstances;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ac-21_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-21(b)" + } + ], + "parts": [ + { + "id": "ac-21_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-21(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines automated mechanisms or manual processes to be employed to assist users in making information sharing/collaboration decisions; and\u003c/p\u003e" + ] + }, + { + "id": "ac-21_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-21(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined automated mechanisms or manual processes to assist users in making information sharing/collaboration decisions.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user-based collaboration and information sharing (including restrictions)\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of users authorized to make information sharing/collaboration decisions\u003c/p\u003e", + "\u003cp\u003elist of information sharing circumstances requiring user discretion\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel responsible for making information sharing/collaboration decisions\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms or manual process implementing access authorizations supporting information sharing/user collaboration decisions\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-21.1", + "class": "SP800-53-enhancement", + "title": "Automated Decision Support", + "props": [ + { + "class": "name", + "value": "AC-21 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system enforces information-sharing decisions by authorized users based on: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-21.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-21(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eaccess authorizations of sharing partners; and\u003c/p\u003e" + ] + }, + { + "id": "ac-21.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-21(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eaccess restrictions on information to be shared.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user-based collaboration and information sharing (including restrictions)\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esystem-generated list of users authorized to make information sharing/collaboration decisions\u003c/p\u003e", + "\u003cp\u003esystem-generated list of sharing partners and access authorizations\u003c/p\u003e", + "\u003cp\u003esystem-generated list of access restrictions regarding information to be shared\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access authorizations supporting information sharing/user collaboration decisions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-21.2", + "class": "SP800-53-enhancement", + "title": "Information Search and Retrieval", + "params": [ + { + "id": "ac-21.2_prm_1", + "label": "organization-defined information sharing restrictions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-21 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements information search and retrieval services that enforce \u003cinsert param-id=\"ac-21.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-21.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-21(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information sharing restrictions to be enforced through information search and retrieval services; and\u003c/p\u003e" + ] + }, + { + "id": "ac-21.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-21(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements information search and retrieval services that enforce organization-defined information sharing restrictions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user-based collaboration and information sharing (including restrictions)\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esystem-generated list of access restrictions regarding information to be shared\u003c/p\u003e", + "\u003cp\u003einformation search and retrieval records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access enforcement responsibilities for information system search and retrieval services\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system search and retrieval services enforcing information sharing restrictions\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ac-22", + "class": "SP800-53", + "title": "Publicly Accessible Content", + "params": [ + { + "id": "ac-22_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AC-22" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-22_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-22a." + } + ], + "prose": [ + "\u003cp\u003eDesignates individuals authorized to post information onto a publicly accessible information system;\u003c/p\u003e" + ] + }, + { + "id": "ac-22_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-22b." + } + ], + "prose": [ + "\u003cp\u003eTrains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;\u003c/p\u003e" + ] + }, + { + "id": "ac-22_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-22c." + } + ], + "prose": [ + "\u003cp\u003eReviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included; and\u003c/p\u003e" + ] + }, + { + "id": "ac-22_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "AC-22d." + } + ], + "prose": [ + "\u003cp\u003eReviews the content on the publicly accessible information system for nonpublic information \u003cinsert param-id=\"ac-22_prm_1\"/\u003e and removes such information, if discovered.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn accordance with federal laws, Executive Orders, directives, policies, regulations, standards, and/or guidance, the general public is not authorized access to nonpublic information (e.g., information protected under the Privacy Act and proprietary information). This control addresses information systems that are controlled by the organization and accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by organizational policy.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#at-2" + }, + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#au-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-22_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-22(a)" + } + ], + "prose": [ + "\u003cp\u003edesignates individuals authorized to post information onto a publicly accessible information system;\u003c/p\u003e" + ] + }, + { + "id": "ac-22_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-22(b)" + } + ], + "prose": [ + "\u003cp\u003etrains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;\u003c/p\u003e" + ] + }, + { + "id": "ac-22_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-22(c)" + } + ], + "prose": [ + "\u003cp\u003ereviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included;\u003c/p\u003e" + ] + }, + { + "id": "ac-22_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-22(d)" + } + ], + "parts": [ + { + "id": "ac-22_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-22(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review the content on the publicly accessible information system for nonpublic information;\u003c/p\u003e" + ] + }, + { + "id": "ac-22_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-22(d)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews the content on the publicly accessible information system for nonpublic information with the organization-defined frequency; and\u003c/p\u003e" + ] + }, + { + "id": "ac-22_obj_d.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-22(d)[3]" + } + ], + "prose": [ + "\u003cp\u003eremoves nonpublic information from the publicly accessible information system, if discovered.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing publicly accessible content\u003c/p\u003e", + "\u003cp\u003elist of users authorized to post publicly accessible content on organizational information systems\u003c/p\u003e", + "\u003cp\u003etraining materials and/or records\u003c/p\u003e", + "\u003cp\u003erecords of publicly accessible information reviews\u003c/p\u003e", + "\u003cp\u003erecords of response to nonpublic information on public websites\u003c/p\u003e", + "\u003cp\u003esystem audit logs\u003c/p\u003e", + "\u003cp\u003esecurity awareness training records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for managing publicly accessible information posted on organizational information systems\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing management of publicly accessible content\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-23", + "class": "SP800-53", + "title": "Data Mining Protection", + "params": [ + { + "id": "ac-23_prm_1", + "label": "organization-defined data mining prevention and detection techniques" + }, + { + "id": "ac-23_prm_2", + "label": "organization-defined data storage objects" + } + ], + "props": [ + { + "class": "name", + "value": "AC-23" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"ac-23_prm_1\"/\u003e for \u003cinsert param-id=\"ac-23_prm_2\"/\u003e to adequately detect and protect against data mining.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eData storage objects include, for example, databases, database records, and database fields. Data mining prevention and detection techniques include, for example: (i) limiting the types of responses provided to database queries; (ii) limiting the number/frequency of database queries to increase the work factor needed to determine the contents of such databases; and (iii) notifying organizational personnel when atypical database queries or accesses occur. This control focuses on the protection of organizational information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is now available as open source information residing on external sites, for example, through social networking or social media websites.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003e Determine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-23_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-23[1]" + } + ], + "prose": [ + "\u003cp\u003edefines data mining prevention and detection techniques to be employed for organization-defined storage objects to adequately detect and protect against data mining;\u003c/p\u003e" + ] + }, + { + "id": "ac-23_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-23[2]" + } + ], + "prose": [ + "\u003cp\u003edefines data storage objects to be protected from data mining; and\u003c/p\u003e" + ] + }, + { + "id": "ac-23_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-23[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined data mining prevention and detection techniques for organization-defined data storage objects to adequately detect and protect against data mining.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing data mining techniques\u003c/p\u003e", + "\u003cp\u003eprocedures addressing protection of data storage objects against data mining\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit logs\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for implementing data mining detection and prevention techniques for data storage objects\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing data mining prevention and detection\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-24", + "class": "SP800-53", + "title": "Access Control Decisions", + "params": [ + { + "id": "ac-24_prm_1", + "label": "organization-defined access control decisions" + } + ], + "props": [ + { + "class": "name", + "value": "AC-24" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization establishes procedures to ensure \u003cinsert param-id=\"ac-24_prm_1\"/\u003e are applied to each access request prior to access enforcement.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAccess control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when information systems enforce access control decisions. While it is very common to have access control decisions and access enforcement implemented by the same entity, it is not required and it is not always an optimal implementation choice. For some architectures and distributed information systems, different entities may perform access control decisions and access enforcement.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-24_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-24[1]" + } + ], + "prose": [ + "\u003cp\u003edefines access control decisions to be applied to each access request prior to access control enforcement; and\u003c/p\u003e" + ] + }, + { + "id": "ac-24_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-24[2]" + } + ], + "prose": [ + "\u003cp\u003eestablishes procedures to ensure organization-defined access control decisions are applied to each access request prior to access control enforcement.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access control decisions\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for establishing procedures regarding access control decisions to the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms applying established access control decisions and procedures\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ac-24.1", + "class": "SP800-53-enhancement", + "title": "Transmit Access Authorization Information", + "params": [ + { + "id": "ac-24.1_prm_1", + "label": "organization-defined access authorization information" + }, + { + "id": "ac-24.1_prm_2", + "label": "organization-defined security safeguards" + }, + { + "id": "ac-24.1_prm_3", + "label": "organization-defined information systems" + } + ], + "props": [ + { + "class": "name", + "value": "AC-24 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system transmits \u003cinsert param-id=\"ac-24.1_prm_1\"/\u003e using \u003cinsert param-id=\"ac-24.1_prm_2\"/\u003e to \u003cinsert param-id=\"ac-24.1_prm_3\"/\u003e that enforce access control decisions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn distributed information systems, authorization processes and access control decisions may occur in separate parts of the systems. In such instances, authorization information is transmitted securely so timely access control decisions can be enforced at the appropriate locations. To support the access control decisions, it may be necessary to transmit as part of the access authorization information, supporting security attributes. This is due to the fact that in distributed information systems, there are various access control decisions that need to be made and different entities (e.g., services) make these decisions in a serial fashion, each requiring some security attributes to make the decisions. Protecting access authorization information (i.e., access control decisions) ensures that such information cannot be altered, spoofed, or otherwise compromised during transmission.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-24.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-24(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines access authorization information that the information system transmits to organization-defined information systems that enforce access control decisions;\u003c/p\u003e" + ] + }, + { + "id": "ac-24.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-24(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security safeguards to be used when the information system transmits organization-defined authorization information to organization-defined information systems that enforce access control decisions;\u003c/p\u003e" + ] + }, + { + "id": "ac-24.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-24(1)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the information systems that enforce access control decisions; and\u003c/p\u003e" + ] + }, + { + "id": "ac-24.1_obj_1.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-24(1)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe information system transmits organization-defined access authorization information using organization-defined security safeguards to organization-defined information systems that enforce access control decisions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ac-24.2", + "class": "SP800-53-enhancement", + "title": "No User or Process Identity", + "params": [ + { + "id": "ac-24.2_prm_1", + "label": "organization-defined security attributes" + } + ], + "props": [ + { + "class": "name", + "value": "AC-24 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces access control decisions based on \u003cinsert param-id=\"ac-24.2_prm_1\"/\u003e that do not include the identity of the user or process acting on behalf of the user.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, it is important that access control decisions can be made without information regarding the identity of the users issuing the requests. These are generally instances where preserving individual privacy is of paramount importance. In other situations, user identification information is simply not needed for access control decisions and, especially in the case of distributed information systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-24.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-24(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security attributes that support access control decisions that do not include the identity of the user or processes acting on behalf of the user; and\u003c/p\u003e" + ] + }, + { + "id": "ac-24.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-24(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces access control decisions based on organization-defined security attributes that do not include the identity of the user or process acting on behalf of the user.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ac-25", + "class": "SP800-53", + "title": "Reference Monitor", + "params": [ + { + "id": "ac-25_prm_1", + "label": "organization-defined access control policies" + } + ], + "props": [ + { + "class": "name", + "value": "AC-25" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements a reference monitor for \u003cinsert param-id=\"ac-25_prm_1\"/\u003e that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Reference monitors typically enforce mandatory access control policies—a type of access control that restricts access to objects based on the identity of subjects or groups to which the subjects belong. The access controls are mandatory because subjects with certain privileges (i.e., access permissions) are restricted from passing those privileges on to any other subjects, either directly or indirectly—that is, the information system strictly enforces the access control policy based on the rule set established by the policy. The tamperproof property of the reference monitor prevents adversaries from compromising the functioning of the mechanism. The always invoked property prevents adversaries from bypassing the mechanism and hence violating the security policy. The smallness property helps to ensure the completeness in the analysis and testing of the mechanism to detect weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-16" + }, + { + "rel": "related", + "href": "#sc-3" + }, + { + "rel": "related", + "href": "#sc-39" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003e Determine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ac-25_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-25[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines access control policies for which the information system implements a reference monitor to enforce such policies; and\u003c/p\u003e" + ] + }, + { + "id": "ac-25_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AC-25[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements a reference monitor for organization-defined access control policies that is tamperproof, always invoked, and small enough to be subject to analysis and testing, the completeness of which can be assured.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access enforcement\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access enforcement responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access enforcement functions\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "Awareness and Training", + "controls": [ + { + "id": "at-1", + "class": "SP800-53", + "title": "Security Awareness and Training Policy and Procedures", + "params": [ + { + "id": "at-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "at-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "at-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AT-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"at-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "AT-1a.1." + } + ], + "prose": [ + "\u003cp\u003eA security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "at-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "AT-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "at-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AT-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "AT-1b.1." + } + ], + "prose": [ + "\u003cp\u003eSecurity awareness and training policy \u003cinsert param-id=\"at-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "at-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "AT-1b.2." + } + ], + "prose": [ + "\u003cp\u003eSecurity awareness and training procedures \u003cinsert param-id=\"at-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)" + } + ], + "parts": [ + { + "id": "at-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents an security awareness and training policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "at-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "at-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "at-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "at-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "at-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "at-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "at-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the security awareness and training policy are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "at-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the security awareness and training policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "at-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)" + } + ], + "parts": [ + { + "id": "at-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the security awareness and training policy and associated awareness and training controls;\u003c/p\u003e" + ] + }, + { + "id": "at-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "at-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "at-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(b)(1)" + } + ], + "parts": [ + { + "id": "at-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current security awareness and training policy;\u003c/p\u003e" + ] + }, + { + "id": "at-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current security awareness and training policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "at-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(b)(2)" + } + ], + "parts": [ + { + "id": "at-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current security awareness and training procedures; and\u003c/p\u003e" + ] + }, + { + "id": "at-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current security awareness and training procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity awareness and training policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security awareness and training responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "at-2", + "class": "SP800-53", + "title": "Security Awareness Training", + "params": [ + { + "id": "at-2_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides basic security awareness training to information system users (including managers, senior executives, and contractors):\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AT-2a." + } + ], + "prose": [ + "\u003cp\u003eAs part of initial training for new users;\u003c/p\u003e" + ] + }, + { + "id": "at-2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AT-2b." + } + ], + "prose": [ + "\u003cp\u003eWhen required by information system changes; and\u003c/p\u003e" + ] + }, + { + "id": "at-2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "AT-2c." + } + ], + "prose": [ + "\u003cp\u003e \u003cinsert param-id=\"at-2_prm_1\"/\u003e thereafter.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the appropriate content of security awareness training and security awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#at-4" + }, + { + "rel": "related", + "href": "#pl-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-2_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-2(a)" + } + ], + "prose": [ + "\u003cp\u003eprovides basic security awareness training to information system users (including managers, senior executives, and contractors) as part of initial training for new users;\u003c/p\u003e" + ] + }, + { + "id": "at-2_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-2(b)" + } + ], + "prose": [ + "\u003cp\u003eprovides basic security awareness training to information system users (including managers, senior executives, and contractors) when required by information system changes; and\u003c/p\u003e" + ] + }, + { + "id": "at-2_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-2(c)" + } + ], + "parts": [ + { + "id": "at-2_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-2(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to provide refresher security awareness training thereafter to information system users (including managers, senior executives, and contractors); and\u003c/p\u003e" + ] + }, + { + "id": "at-2_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-2(c)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides refresher security awareness training to information users (including managers, senior executives, and contractors) with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp\u003eappropriate codes of federal regulations\u003c/p\u003e", + "\u003cp\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003etraining records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for security awareness training\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel comprising the general information system user community\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms managing security awareness training\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "at-2.1", + "class": "SP800-53-enhancement", + "title": "Practical Exercises", + "props": [ + { + "class": "name", + "value": "AT-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization includes practical exercises in security awareness training that simulate actual cyber attacks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePractical exercises may include, for example, no-notice social engineering attempts to collect information, gain unauthorized access, or simulate the adverse impact of opening malicious email attachments or invoking, via spear phishing attacks, malicious web links.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-2" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cp-4" + }, + { + "rel": "related", + "href": "#ir-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization includes practical exercises in security awareness training that simulate actual cyber attacks. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel that participate in security awareness training\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for security awareness training\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing cyber attack simulations in practical exercises\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "at-2.2", + "class": "SP800-53-enhancement", + "title": "Insider Threat", + "props": [ + { + "class": "name", + "value": "AT-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization includes security awareness training on recognizing and reporting potential indicators of insider threat.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePotential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to information not required for job performance, unexplained access to financial resources, bullying or sexual harassment of fellow employees, workplace violence, and other serious violations of organizational policies, procedures, directives, rules, or practices. Security awareness training includes how to communicate employee and management concerns regarding potential indicators of insider threat through appropriate organizational channels in accordance with established organizational policies and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pl-4" + }, + { + "rel": "related", + "href": "#pm-12" + }, + { + "rel": "related", + "href": "#ps-3" + }, + { + "rel": "related", + "href": "#ps-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization includes security awareness training on recognizing and reporting potential indicators of insider threat. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel that participate in security awareness training\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for basic security awareness training\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "at-3", + "class": "SP800-53", + "title": "Role-based Security Training", + "params": [ + { + "id": "at-3_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides role-based security training to personnel with assigned security roles and responsibilities:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AT-3a." + } + ], + "prose": [ + "\u003cp\u003eBefore authorizing access to the information system or performing assigned duties;\u003c/p\u003e" + ] + }, + { + "id": "at-3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AT-3b." + } + ], + "prose": [ + "\u003cp\u003eWhen required by information system changes; and\u003c/p\u003e" + ] + }, + { + "id": "at-3_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "AT-3c." + } + ], + "prose": [ + "\u003cp\u003e \u003cinsert param-id=\"at-3_prm_1\"/\u003e thereafter.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the appropriate content of security training based on the assigned roles and responsibilities of individuals and the specific security requirements of organizations and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include for example, policies, procedures, tools, and artifacts for the organizational security roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of organizational information security programs. Role-based security training also applies to contractors providing services to federal agencies.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-2" + }, + { + "rel": "related", + "href": "#at-4" + }, + { + "rel": "related", + "href": "#pl-4" + }, + { + "rel": "related", + "href": "#ps-7" + }, + { + "rel": "related", + "href": "#sa-3" + }, + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#sa-16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-3_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(a)" + } + ], + "prose": [ + "\u003cp\u003eprovides role-based security training to personnel with assigned security roles and responsibilities before authorizing access to the information system or performing assigned duties;\u003c/p\u003e" + ] + }, + { + "id": "at-3_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(b)" + } + ], + "prose": [ + "\u003cp\u003eprovides role-based security training to personnel with assigned security roles and responsibilities when required by information system changes; and\u003c/p\u003e" + ] + }, + { + "id": "at-3_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(c)" + } + ], + "parts": [ + { + "id": "at-3_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to provide refresher role-based security training thereafter to personnel with assigned security roles and responsibilities; and\u003c/p\u003e" + ] + }, + { + "id": "at-3_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(c)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides refresher role-based security training to personnel with assigned security roles and responsibilities with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp\u003ecodes of federal regulations\u003c/p\u003e", + "\u003cp\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp\u003esecurity training materials\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003etraining records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with assigned information system security roles and responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms managing role-based security training\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "at-3.1", + "class": "SP800-53-enhancement", + "title": "Environmental Controls", + "params": [ + { + "id": "at-3.1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "at-3.1_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides \u003cinsert param-id=\"at-3.1_prm_1\"/\u003e with initial and \u003cinsert param-id=\"at-3.1_prm_2\"/\u003e training in the employment and operation of environmental controls.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEnvironmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, HVAC, and power within the facility. Organizations identify personnel with specific roles and responsibilities associated with environmental controls requiring specialized training.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-1" + }, + { + "rel": "related", + "href": "#pe-13" + }, + { + "rel": "related", + "href": "#pe-14" + }, + { + "rel": "related", + "href": "#pe-15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-3.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to be provided with initial and refresher training in the employment and operation of environmental controls;\u003c/p\u003e" + ] + }, + { + "id": "at-3.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides organization-defined personnel or roles with initial and refresher training in the employment and operation of environmental controls;\u003c/p\u003e" + ] + }, + { + "id": "at-3.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to provide refresher training in the employment and operation of environmental controls; and\u003c/p\u003e" + ] + }, + { + "id": "at-3.1_obj_1.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(1)[4]" + } + ], + "prose": [ + "\u003cp\u003eprovides refresher training in the employment and operation of environmental controls with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp\u003esecurity training materials\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003etraining records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for employing and operating environmental controls\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "at-3.2", + "class": "SP800-53-enhancement", + "title": "Physical Security Controls", + "params": [ + { + "id": "at-3.2_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "at-3.2_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AT-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides \u003cinsert param-id=\"at-3.2_prm_1\"/\u003e with initial and \u003cinsert param-id=\"at-3.2_prm_2\"/\u003e training in the employment and operation of physical security controls.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysical security controls include, for example, physical access control devices, physical intrusion alarms, monitoring/surveillance equipment, and security guards (deployment and operating procedures). Organizations identify personnel with specific roles and responsibilities associated with physical security controls requiring specialized training.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-2" + }, + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#pe-4" + }, + { + "rel": "related", + "href": "#pe-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-3.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to be provided with initial and refresher training in the employment and operation of physical security controls;\u003c/p\u003e" + ] + }, + { + "id": "at-3.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides organization-defined personnel or roles with initial and refresher training in the employment and operation of physical security controls;\u003c/p\u003e" + ] + }, + { + "id": "at-3.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to provide refresher training in the employment and operation of physical security controls; and\u003c/p\u003e" + ] + }, + { + "id": "at-3.2_obj_2.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(2)[4]" + } + ], + "prose": [ + "\u003cp\u003eprovides refresher training in the employment and operation of physical security controls with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp\u003esecurity training materials\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003etraining records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for employing and operating physical security controls\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "at-3.3", + "class": "SP800-53-enhancement", + "title": "Practical Exercises", + "props": [ + { + "class": "name", + "value": "AT-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization includes practical exercises in security training that reinforce training objectives.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePractical exercises may include, for example, security training for software developers that includes simulated cyber attacks exploiting common software vulnerabilities (e.g., buffer overflows), or spear/whale phishing attacks targeted at senior leaders/executives. These types of practical exercises help developers better understand the effects of such vulnerabilities and appreciate the need for security coding standards and processes.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization includes practical exercises in security training that reinforce training objectives. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security awareness training implementation\u003c/p\u003e", + "\u003cp\u003esecurity awareness training curriculum\u003c/p\u003e", + "\u003cp\u003esecurity awareness training materials\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp\u003eorganizational personnel that participate in security awareness training\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "at-3.4", + "class": "SP800-53-enhancement", + "title": "Suspicious Communications and Anomalous System Behavior", + "params": [ + { + "id": "at-3.4_prm_1", + "label": "organization-defined indicators of malicious code" + } + ], + "props": [ + { + "class": "name", + "value": "AT-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides training to its personnel on \u003cinsert param-id=\"at-3.4_prm_1\"/\u003e to recognize suspicious communications and anomalous behavior in organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA well-trained workforce provides another organizational safeguard that can be employed as part of a defense-in-depth strategy to protect organizations against malicious code coming in to organizations via email or the web applications. Personnel are trained to look for indications of potentially suspicious email (e.g., receiving an unexpected email, receiving an email containing strange or poor grammar, or receiving an email from an unfamiliar sender but who appears to be from a known sponsor or contractor). Personnel are also trained on how to respond to such suspicious email or web communications (e.g., not opening attachments, not clicking on embedded web links, and checking the source of email addresses). For this process to work effectively, all organizational personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in organizational information systems can potentially provide early warning for the presence of malicious code. Recognition of such anomalous behavior by organizational personnel can supplement automated malicious code detection and protection tools and systems employed by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-3.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines indicators of malicious code; and\u003c/p\u003e" + ] + }, + { + "id": "at-3.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-3(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides training to its personnel on organization-defined indicators of malicious code to recognize suspicious communications and anomalous behavior in organizational information systems.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security training implementation\u003c/p\u003e", + "\u003cp\u003esecurity training curriculum\u003c/p\u003e", + "\u003cp\u003esecurity training materials\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003etraining records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for role-based security training\u003c/p\u003e", + "\u003cp\u003eorganizational personnel that participate in security awareness training\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "at-4", + "class": "SP800-53", + "title": "Security Training Records", + "params": [ + { + "id": "at-4_prm_1", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "AT-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AT-4a." + } + ], + "prose": [ + "\u003cp\u003eDocuments and monitors individual information system security training activities including basic security awareness training and specific information system security training; and\u003c/p\u003e" + ] + }, + { + "id": "at-4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AT-4b." + } + ], + "prose": [ + "\u003cp\u003eRetains individual training records for \u003cinsert param-id=\"at-4_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDocumentation for specialized training may be maintained by individual supervisors at the option of the organization.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-2" + }, + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#pm-14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-4_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-4(a)" + } + ], + "parts": [ + { + "id": "at-4_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-4(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edocuments individual information system security training activities including:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-4_obj_a.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-4(a)[1][a]" + } + ], + "prose": [ + "\u003cp\u003ebasic security awareness training;\u003c/p\u003e" + ] + }, + { + "id": "at-4_obj_a.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-4(a)[1][b]" + } + ], + "prose": [ + "\u003cp\u003especific role-based information system security training;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "at-4_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-4(a)[2]" + } + ], + "prose": [ + "\u003cp\u003emonitors individual information system security training activities including:\u003c/p\u003e" + ], + "parts": [ + { + "id": "at-4_obj_a.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-4(a)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ebasic security awareness training;\u003c/p\u003e" + ] + }, + { + "id": "at-4_obj_a.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-4(a)[2][b]" + } + ], + "prose": [ + "\u003cp\u003especific role-based information system security training;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "at-4_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-4(b)" + } + ], + "parts": [ + { + "id": "at-4_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-4(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a time period to retain individual training records; and\u003c/p\u003e" + ] + }, + { + "id": "at-4_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AT-4(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eretains individual training records for the organization-defined time period.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity awareness and training policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security training records\u003c/p\u003e", + "\u003cp\u003esecurity awareness and training records\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security training record retention responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting management of security training records\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "at-5", + "class": "SP800-53", + "title": "Contacts with Security Groups and Associations", + "links": [ + { + "rel": "related", + "href": "#pm-15" + } + ], + "props": [ + { + "class": "name", + "value": "AT-5" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into PM-15\u003c/i\u003e \u003ci\u003eIncorporated into PM-15\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "Audit and Accountability", + "controls": [ + { + "id": "au-1", + "class": "SP800-53", + "title": "Audit and Accountability Policy and Procedures", + "params": [ + { + "id": "au-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "au-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "au-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AU-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"au-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-1a.1." + } + ], + "prose": [ + "\u003cp\u003eAn audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "au-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-1b.1." + } + ], + "prose": [ + "\u003cp\u003eAudit and accountability policy \u003cinsert param-id=\"au-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "au-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-1b.2." + } + ], + "prose": [ + "\u003cp\u003eAudit and accountability procedures \u003cinsert param-id=\"au-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)" + } + ], + "parts": [ + { + "id": "au-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents an audit and accountability policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "au-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "au-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "au-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "au-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "au-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "au-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the audit and accountability policy are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "au-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the audit and accountability policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(2)" + } + ], + "parts": [ + { + "id": "au-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls;\u003c/p\u003e" + ] + }, + { + "id": "au-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "au-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(b)(1)" + } + ], + "parts": [ + { + "id": "au-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current audit and accountability policy;\u003c/p\u003e" + ] + }, + { + "id": "au-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current audit and accountability policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(b)(2)" + } + ], + "parts": [ + { + "id": "au-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current audit and accountability procedures; and\u003c/p\u003e" + ] + }, + { + "id": "au-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current audit and accountability procedures in accordance with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "au-2", + "class": "SP800-53", + "title": "Audit Events", + "params": [ + { + "id": "au-2_prm_1", + "label": "organization-defined auditable events" + }, + { + "id": "au-2_prm_2", + "label": "organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event" + } + ], + "props": [ + { + "class": "name", + "value": "AU-2" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-2a." + } + ], + "prose": [ + "\u003cp\u003eDetermines that the information system is capable of auditing the following events: \u003cinsert param-id=\"au-2_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "au-2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-2b." + } + ], + "prose": [ + "\u003cp\u003eCoordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;\u003c/p\u003e" + ] + }, + { + "id": "au-2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-2c." + } + ], + "prose": [ + "\u003cp\u003eProvides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and\u003c/p\u003e" + ] + }, + { + "id": "au-2_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-2d." + } + ], + "prose": [ + "\u003cp\u003eDetermines that the following events are to be audited within the information system: \u003cinsert param-id=\"au-2_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAn event is any observable occurrence in an organizational information system. Organizations identify audit events as those events which are significant and relevant to the security of information systems and the environments in which those systems operate in order to meet specific and ongoing audit needs. Audit events can include, for example, password changes, failed logons, or failed accesses related to information systems, administrative privilege usage, PIV credential usage, or third-party credential usage. In determining the set of auditable events, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are audited at a given point in time. For example, organizations may determine that information systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security controls and control enhancements. Organizations also include auditable events that are required by applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable events, the auditing necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented architectures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#au-3" + }, + { + "rel": "related", + "href": "#au-12" + }, + { + "rel": "related", + "href": "#ma-4" + }, + { + "rel": "related", + "href": "#mp-2" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-2_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-2(a)" + } + ], + "parts": [ + { + "id": "au-2_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-2(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the auditable events that the information system must be capable of auditing;\u003c/p\u003e" + ] + }, + { + "id": "au-2_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-2(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edetermines that the information system is capable of auditing organization-defined auditable events;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-2_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-2(b)" + } + ], + "prose": [ + "\u003cp\u003ecoordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;\u003c/p\u003e" + ] + }, + { + "id": "au-2_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-2(c)" + } + ], + "prose": [ + "\u003cp\u003eprovides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents;\u003c/p\u003e" + ] + }, + { + "id": "au-2_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-2(d)" + } + ], + "parts": [ + { + "id": "au-2_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-2(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the subset of auditable events defined in AU-2a that are to be audited within the information system;\u003c/p\u003e" + ] + }, + { + "id": "au-2_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-2(d)[2]" + } + ], + "prose": [ + "\u003cp\u003edetermines that the subset of auditable events defined in AU-2a are to be audited within the information system; and\u003c/p\u003e" + ] + }, + { + "id": "au-2_obj_d.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-2(d)[3]" + } + ], + "prose": [ + "\u003cp\u003edetermines the frequency of (or situation requiring) auditing for each identified event.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing auditable events\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003einformation system auditable events\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information system auditing\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "au-2.1", + "class": "SP800-53-enhancement", + "title": "Compilation of Audit Records from Multiple Sources", + "links": [ + { + "rel": "related", + "href": "#au-12" + } + ], + "props": [ + { + "class": "name", + "value": "AU-2 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into AU-12\u003c/i\u003e \u003ci\u003eIncorporated into AU-12\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-2.2", + "class": "SP800-53-enhancement", + "title": "Selection of Audit Events by Component", + "links": [ + { + "rel": "related", + "href": "#au-12" + } + ], + "props": [ + { + "class": "name", + "value": "AU-2 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into AU-12\u003c/i\u003e \u003ci\u003eIncorporated into AU-12\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-2.3", + "class": "SP800-53-enhancement", + "title": "Reviews and Updates", + "params": [ + { + "id": "au-2.3_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AU-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization reviews and updates the audited events \u003cinsert param-id=\"au-2.3_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOver time, the events that organizations believe should be audited may change. Reviewing and updating the set of audited events periodically is necessary to ensure that the current set is still necessary and sufficient.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-2.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-2(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the audited events; and\u003c/p\u003e" + ] + }, + { + "id": "au-2.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-2(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the auditable events with organization-defined frequency.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing auditable events\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003elist of organization-defined auditable events\u003c/p\u003e", + "\u003cp\u003eauditable events review and update records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003einformation system incident reports\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting review and update of auditable events\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-2.4", + "class": "SP800-53-enhancement", + "title": "Privileged Functions", + "links": [ + { + "rel": "related", + "href": "#ac-6.9" + } + ], + "props": [ + { + "class": "name", + "value": "AU-2 (4)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into AC-6 (9)\u003c/i\u003e \u003ci\u003eIncorporated into AC-6 (9)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "au-3", + "class": "SP800-53", + "title": "Content of Audit Records", + "props": [ + { + "class": "name", + "value": "AU-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-8" + }, + { + "rel": "related", + "href": "#au-12" + }, + { + "rel": "related", + "href": "#si-11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system generates audit records containing information that establishes: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-3_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-3[1]" + } + ], + "prose": [ + "\u003cp\u003ewhat type of event occurred;\u003c/p\u003e" + ] + }, + { + "id": "au-3_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-3[2]" + } + ], + "prose": [ + "\u003cp\u003ewhen the event occurred;\u003c/p\u003e" + ] + }, + { + "id": "au-3_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-3[3]" + } + ], + "prose": [ + "\u003cp\u003ewhere the event occurred;\u003c/p\u003e" + ] + }, + { + "id": "au-3_obj_4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-3[4]" + } + ], + "prose": [ + "\u003cp\u003ethe source of the event;\u003c/p\u003e" + ] + }, + { + "id": "au-3_obj_5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-3[5]" + } + ], + "prose": [ + "\u003cp\u003ethe outcome of the event; and\u003c/p\u003e" + ] + }, + { + "id": "au-3_obj_6", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-3[6]" + } + ], + "prose": [ + "\u003cp\u003ethe identity of any individuals or subjects associated with the event.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing content of audit records\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of organization-defined auditable events\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003einformation system incident reports\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information system auditing of auditable events\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "au-3.1", + "class": "SP800-53-enhancement", + "title": "Additional Audit Information", + "params": [ + { + "id": "au-3.1_prm_1", + "label": "organization-defined additional, more detailed information" + } + ], + "props": [ + { + "class": "name", + "value": "AU-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system generates audit records containing the following additional information: \u003cinsert param-id=\"au-3.1_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetailed information that organizations may consider in audit records includes, for example, full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-3.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-3(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines additional, more detailed information to be contained in audit records that the information system generates; and\u003c/p\u003e" + ] + }, + { + "id": "au-3.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-3(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system generates audit records containing the organization-defined additional, more detailed information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing content of audit records\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of organization-defined auditable events\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system audit capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-3.2", + "class": "SP800-53-enhancement", + "title": "Centralized Management of Planned Audit Record Content", + "params": [ + { + "id": "au-3.2_prm_1", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "AU-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides centralized management and configuration of the content to be captured in audit records generated by \u003cinsert param-id=\"au-3.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires that the content to be captured in audit records be configured from a central location (necessitating automation). Organizations coordinate the selection of required audit content to support the centralized management and configuration capability provided by the information system.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#au-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-3.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-3(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information system components that generate audit records whose content is to be centrally managed and configured by the information system; and\u003c/p\u003e" + ] + }, + { + "id": "au-3.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-3(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides centralized management and configuration of the content to be captured in audit records generated by the organization-defined information system components.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing content of audit records\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of organization-defined auditable events\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system capability implementing centralized management and configuration of audit record content\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "au-4", + "class": "SP800-53", + "title": "Audit Storage Capacity", + "params": [ + { + "id": "au-4_prm_1", + "label": "organization-defined audit record storage requirements" + } + ], + "props": [ + { + "class": "name", + "value": "AU-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization allocates audit record storage capacity in accordance with \u003cinsert param-id=\"au-4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Allocating sufficient audit storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of auditing capability.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-5" + }, + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#au-7" + }, + { + "rel": "related", + "href": "#au-11" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-4_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-4[1]" + } + ], + "prose": [ + "\u003cp\u003edefines audit record storage requirements; and\u003c/p\u003e" + ] + }, + { + "id": "au-4_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-4[2]" + } + ], + "prose": [ + "\u003cp\u003eallocates audit record storage capacity in accordance with the organization-defined audit record storage requirements.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit storage capacity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eaudit record storage requirements\u003c/p\u003e", + "\u003cp\u003eaudit record storage capability for information system components\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit record storage capacity and related configuration settings\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "au-4.1", + "class": "SP800-53-enhancement", + "title": "Transfer to Alternate Storage", + "params": [ + { + "id": "au-4.1_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AU-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system off-loads audit records \u003cinsert param-id=\"au-4.1_prm_1\"/\u003e onto a different system or media than the system being audited.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOff-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary information system to a secondary or alternate system. It is a common process in information systems with limited audit storage capacity; the audit storage is used only in a transitory fashion until the system can communicate with the secondary or alternate system designated for storing the audit records, at which point the information is transferred.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003e Determine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-4.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-4(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the frequency to off-load audit records onto a different system or media than the system being audited; and\u003c/p\u003e" + ] + }, + { + "id": "au-4.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-4(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system off-loads audit records onto a different system or media than the system being audited with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit storage capacity\u003c/p\u003e", + "\u003cp\u003eprocedures addressing transfer of information system audit records to secondary or alternate systems\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elogs of audit record transfers to secondary or alternate systems\u003c/p\u003e", + "\u003cp\u003einformation system audit records transferred to secondary or alternate systems\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit storage capacity planning responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting transfer of audit records onto a different system\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "au-5", + "class": "SP800-53", + "title": "Response to Audit Processing Failures", + "params": [ + { + "id": "au-5_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "au-5_prm_2", + "label": "organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)" + } + ], + "props": [ + { + "class": "name", + "value": "AU-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-5a." + } + ], + "prose": [ + "\u003cp\u003eAlerts \u003cinsert param-id=\"au-5_prm_1\"/\u003e in the event of an audit processing failure; and\u003c/p\u003e" + ] + }, + { + "id": "au-5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-5b." + } + ], + "prose": [ + "\u003cp\u003eTakes the following additional actions: \u003cinsert param-id=\"au-5_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for different audit processing failures (e.g., by type, by location, by severity, or a combination of such factors). This control applies to each audit data storage repository (i.e., distinct information system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-4" + }, + { + "rel": "related", + "href": "#si-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-5_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(a)" + } + ], + "parts": [ + { + "id": "au-5_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the personnel or roles to be alerted in the event of an audit processing failure;\u003c/p\u003e" + ] + }, + { + "id": "au-5_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system alerts the organization-defined personnel or roles in the event of an audit processing failure;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-5_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(b)" + } + ], + "parts": [ + { + "id": "au-5_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines additional actions to be taken (e.g., shutdown information system, overwrite oldest audit records, stop generating audit records) in the event of an audit processing failure; and\u003c/p\u003e" + ] + }, + { + "id": "au-5_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system takes the additional organization-defined actions in the event of an audit processing failure.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of personnel to be notified in case of an audit processing failure\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing information system response to audit processing failures\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "au-5.1", + "class": "SP800-53-enhancement", + "title": "Audit Storage Capacity", + "params": [ + { + "id": "au-5.1_prm_1", + "label": "organization-defined personnel, roles, and/or locations" + }, + { + "id": "au-5.1_prm_2", + "label": "organization-defined time period" + }, + { + "id": "au-5.1_prm_3", + "label": "organization-defined percentage" + } + ], + "props": [ + { + "class": "name", + "value": "AU-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides a warning to \u003cinsert param-id=\"au-5.1_prm_1\"/\u003e within \u003cinsert param-id=\"au-5.1_prm_2\"/\u003e when allocated audit record storage volume reaches \u003cinsert param-id=\"au-5.1_prm_3\"/\u003e of repository maximum audit record storage capacity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may have multiple audit data storage repositories distributed across multiple information system components, with each repository having different storage volume capacities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-5.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-5.1_obj_1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epersonnel to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;\u003c/p\u003e" + ] + }, + { + "id": "au-5.1_obj_1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003eroles to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity; and/or\u003c/p\u003e" + ] + }, + { + "id": "au-5.1_obj_1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003elocations to be warned when allocated audit record storage volume reaches organization-defined percentage of repository maximum audit record storage capacity;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-5.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the time period within which the information system is to provide a warning to the organization-defined personnel, roles, and/or locations when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity;\u003c/p\u003e" + ] + }, + { + "id": "au-5.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(1)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the percentage of repository maximum audit record storage capacity that, if reached, requires a warning to be provided; and\u003c/p\u003e" + ] + }, + { + "id": "au-5.1_obj_1.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(1)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides a warning to the organization-defined personnel, roles, and/or locations within the organization-defined time period when allocated audit record storage volume reaches the organization-defined percentage of repository maximum audit record storage capacity.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing audit storage limit warnings\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-5.2", + "class": "SP800-53-enhancement", + "title": "Real-time Alerts", + "params": [ + { + "id": "au-5.2_prm_1", + "label": "organization-defined real-time period" + }, + { + "id": "au-5.2_prm_2", + "label": "organization-defined personnel, roles, and/or locations" + }, + { + "id": "au-5.2_prm_3", + "label": "organization-defined audit failure events requiring real-time alerts" + } + ], + "props": [ + { + "class": "name", + "value": "AU-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides an alert in \u003cinsert param-id=\"au-5.2_prm_1\"/\u003e to \u003cinsert param-id=\"au-5.2_prm_2\"/\u003e when the following audit failure events occur: \u003cinsert param-id=\"au-5.2_prm_3\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-5.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines audit failure events requiring real-time alerts;\u003c/p\u003e" + ] + }, + { + "id": "au-5.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-5.2_obj_2.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(2)[2][a]" + } + ], + "prose": [ + "\u003cp\u003epersonnel to be alerted when organization-defined audit failure events requiring real-time alerts occur;\u003c/p\u003e" + ] + }, + { + "id": "au-5.2_obj_2.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(2)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eroles to be alerted when organization-defined audit failure events requiring real-time alerts occur; and/or\u003c/p\u003e" + ] + }, + { + "id": "au-5.2_obj_2.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(2)[2][c]" + } + ], + "prose": [ + "\u003cp\u003elocations to be alerted when organization-defined audit failure events requiring real-time alerts occur;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-5.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(2)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the real-time period within which the information system is to provide an alert to the organization-defined personnel, roles, and/or locations when the organization-defined audit failure events requiring real-time alerts occur; and\u003c/p\u003e" + ] + }, + { + "id": "au-5.2_obj_2.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(2)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides an alert within the organization-defined real-time period to the organization-defined personnel, roles, and/or locations when organization-defined audit failure events requiring real-time alerts occur.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of notifications or real-time alerts when audit processing failures occur\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing real-time audit alerts when organization-defined audit failure events occur\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-5.3", + "class": "SP800-53-enhancement", + "title": "Configurable Traffic Volume Thresholds", + "params": [ + { + "id": "au-5.3_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "rejects" + }, + { + "assignments": null, + "Value": "delays" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "AU-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity and \u003cinsert param-id=\"au-5.3_prm_1\"/\u003e network traffic above those thresholds.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations have the capability to reject or delay the processing of network communications traffic if auditing such traffic is determined to exceed the storage capacity of the information system audit function. The rejection or delay response is triggered by the established organizational traffic volume thresholds which can be adjusted based on changes to audit storage capacity.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-5.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(3)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity;\u003c/p\u003e" + ] + }, + { + "id": "au-5.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization selects if network traffic above configurable traffic volume thresholds is to be:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-5.3_obj_3.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(3)[2][a]" + } + ], + "prose": [ + "\u003cp\u003erejected; or\u003c/p\u003e" + ] + }, + { + "id": "au-5.3_obj_3.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(3)[2][b]" + } + ], + "prose": [ + "\u003cp\u003edelayed; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-5.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(3)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system rejects or delays network communications traffic generated above configurable traffic volume thresholds.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003econfiguration of network communications traffic volume thresholds\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system capability implementing configurable traffic volume thresholds\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-5.4", + "class": "SP800-53-enhancement", + "title": "Shutdown On Failure", + "params": [ + { + "id": "au-5.4_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "full system shutdown" + }, + { + "assignments": null, + "Value": "partial system shutdown" + }, + { + "assignments": null, + "Value": "degraded operational mode with limited mission/business functionality available" + } + ] + } + }, + { + "id": "au-5.4_prm_2", + "label": "organization-defined audit failures" + } + ], + "props": [ + { + "class": "name", + "value": "AU-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system invokes a \u003cinsert param-id=\"au-5.4_prm_1\"/\u003e in the event of \u003cinsert param-id=\"au-5.4_prm_2\"/\u003e, unless an alternate audit capability exists.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the types of audit failures that can trigger automatic information system shutdowns or degraded operations. Because of the importance of ensuring mission/business continuity, organizations may determine that the nature of the audit failure is not so severe that it warrants a complete shutdown of the information system supporting the core organizational missions/business operations. In those instances, partial information system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-5.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(4)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization selects one of the following specific actions for the information system to invoke in the event of organization-defined audit failures:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-5.4_obj_4.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(4)[1][a]" + } + ], + "prose": [ + "\u003cp\u003efull system shutdown;\u003c/p\u003e" + ] + }, + { + "id": "au-5.4_obj_4.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(4)[1][b]" + } + ], + "prose": [ + "\u003cp\u003epartial system shutdown; or\u003c/p\u003e" + ] + }, + { + "id": "au-5.4_obj_4.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(4)[1][c]" + } + ], + "prose": [ + "\u003cp\u003edegraded operational mode with limited mission/business functionality available;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-5.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(4)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines audit failures that, unless an alternate audit capability exists, are to trigger the information system to invoke a specific action; and\u003c/p\u003e" + ] + }, + { + "id": "au-5.4_obj_4.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-5(4)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system invokes the selected specific action in the event of organization-defined audit failures, unless an alternate audit capability exists.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing response to audit processing failures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system capability invoking system shutdown or degraded operational mode in the event of an audit processing failure\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "au-6", + "class": "SP800-53", + "title": "Audit Review, Analysis, and Reporting", + "params": [ + { + "id": "au-6_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "au-6_prm_2", + "label": "organization-defined inappropriate or unusual activity" + }, + { + "id": "au-6_prm_3", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "AU-6" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-6_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-6a." + } + ], + "prose": [ + "\u003cp\u003eReviews and analyzes information system audit records \u003cinsert param-id=\"au-6_prm_1\"/\u003e for indications of \u003cinsert param-id=\"au-6_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "au-6_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-6b." + } + ], + "prose": [ + "\u003cp\u003eReports findings to \u003cinsert param-id=\"au-6_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#au-7" + }, + { + "rel": "related", + "href": "#au-16" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cm-5" + }, + { + "rel": "related", + "href": "#cm-10" + }, + { + "rel": "related", + "href": "#cm-11" + }, + { + "rel": "related", + "href": "#ia-3" + }, + { + "rel": "related", + "href": "#ia-5" + }, + { + "rel": "related", + "href": "#ir-5" + }, + { + "rel": "related", + "href": "#ir-6" + }, + { + "rel": "related", + "href": "#ma-4" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#pe-6" + }, + { + "rel": "related", + "href": "#pe-14" + }, + { + "rel": "related", + "href": "#pe-16" + }, + { + "rel": "related", + "href": "#ra-5" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#sc-18" + }, + { + "rel": "related", + "href": "#sc-19" + }, + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-4" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-6_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(a)" + } + ], + "parts": [ + { + "id": "au-6_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the types of inappropriate or unusual activity to look for when information system audit records are reviewed and analyzed;\u003c/p\u003e" + ] + }, + { + "id": "au-6_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and analyze information system audit records for indications of organization-defined inappropriate or unusual activity;\u003c/p\u003e" + ] + }, + { + "id": "au-6_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(a)[3]" + } + ], + "prose": [ + "\u003cp\u003ereviews and analyzes information system audit records for indications of organization-defined inappropriate or unusual activity with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-6_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(b)" + } + ], + "parts": [ + { + "id": "au-6_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom findings resulting from reviews and analysis of information system audit records are to be reported; and\u003c/p\u003e" + ] + }, + { + "id": "au-6_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ereports findings to organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp\u003ereports of audit findings\u003c/p\u003e", + "\u003cp\u003erecords of actions taken in response to reviews/analyses of audit 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"prose": [ + "\u003cp\u003eOrganizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-12" + }, + { + "rel": "related", + "href": "#pm-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-6.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms to integrate:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-6.1_obj_1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003eaudit review;\u003c/p\u003e" + ] + }, + { + "id": "au-6.1_obj_1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003eanalysis;\u003c/p\u003e" + ] + }, + { + "id": "au-6.1_obj_1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003ereporting processes;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-6.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(1)[2]" + } + ], + "prose": [ + "\u003cp\u003euses integrated audit review, analysis and reporting processes to support organizational processes for:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-6.1_obj_1.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(1)[2][a]" + } + ], + "prose": [ + "\u003cp\u003einvestigation of suspicious activities; and\u003c/p\u003e" + ] + }, + { + "id": "au-6.1_obj_1.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(1)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eresponse to 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"SP800-53-enhancement", + "title": "Correlate Audit Repositories", + "props": [ + { + "class": "name", + "value": "AU-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and information system) and supports cross-organization awareness.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-12" + }, + { + "rel": "related", + "href": "#ir-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness. \u003c/p\u003e" + ] + }, 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responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting analysis and correlation of audit records\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-6.4", + "class": "SP800-53-enhancement", + "title": "Central Review and Analysis", + "props": [ + { + "class": "name", + "value": "AU-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides the capability to centrally review and analyze audit records from multiple components within the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms for centralized reviews and analyses include, for example, Security Information Management products.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system provides the capability to centrally review and analyze audit records from multiple components within the system.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system capability to centralize review and analysis of audit records\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-6.5", + "class": "SP800-53-enhancement", + "title": "Integration / Scanning and Monitoring Capabilities", + "params": [ + { + "id": "au-6.5_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "vulnerability scanning information" + }, + { + "assignments": null, + "Value": "performance data" + }, + { + "assignments": null, + "Value": "information system monitoring information" + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "au-6.5_prm_2", + "dependsOn": "au-6.5_prm_1", + "label": "organization-defined data/information collected from other sources" + } + ], + "props": [ + { + "class": "name", + "value": "AU-6 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization integrates analysis of audit records with analysis of \u003cinsert param-id=\"au-6.5_prm_1\"/\u003e to further enhance the ability to identify inappropriate or unusual activity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement does not require vulnerability scanning, the generation of performance data, or information system monitoring. Rather, the enhancement requires that the analysis of information being otherwise produced in these areas is integrated with the analysis of audit information. Security Event and Information Management System tools can facilitate audit record aggregation/consolidation from multiple information system components as well as audit record correlation and analysis. The use of standardized audit record analysis scripts developed by organizations (with localized script adjustments, as necessary) provides more cost-effective approaches for analyzing audit record information collected. The correlation of audit record information with vulnerability scanning information is important in determining the veracity of vulnerability scans and correlating attack detection events with scanning results. Correlation with performance data can help uncover denial of service attacks or cyber attacks resulting in unauthorized use of resources. Correlation with system monitoring information can assist in uncovering attacks and in better relating audit information to operational situations.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-12" + }, + { + "rel": "related", + "href": "#ir-4" + }, + { + "rel": "related", + "href": "#ra-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-6.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines data/information to be collected from other sources;\u003c/p\u003e" + ] + }, + { + "id": "au-6.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(5)[2]" + } + ], + "prose": [ + "\u003cp\u003eselects sources of data/information to be analyzed and integrated with the analysis of audit records from one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-6.5_obj_5.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(5)[2][a]" + } + ], + "prose": [ + "\u003cp\u003evulnerability scanning information;\u003c/p\u003e" + ] + }, + { + "id": "au-6.5_obj_5.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(5)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eperformance data;\u003c/p\u003e" + ] + }, + { + "id": "au-6.5_obj_5.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(5)[2][c]" + } + ], + "prose": [ + "\u003cp\u003einformation system monitoring information; and/or\u003c/p\u003e" + ] + }, + { + "id": "au-6.5_obj_5.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(5)[2][d]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined data/information collected from other sources; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-6.5_obj_5.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(5)[3]" + } + ], + "prose": [ + "\u003cp\u003eintegrates the analysis of audit records with the analysis of selected data/information to further enhance the ability to identify inappropriate or unusual activity.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eintegrated analysis of audit records, vulnerability scanning information, performance data, network monitoring information and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing capability to integrate analysis of audit records with analysis of data/information sources\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-6.6", + "class": "SP800-53-enhancement", + "title": "Correlation with Physical Monitoring", + "props": [ + { + "class": "name", + "value": "AU-6 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe correlation of physical audit information and audit logs from information systems may assist organizations in identifying examples of suspicious behavior or supporting evidence of such behavior. For example, the correlation of an individual’s identity for logical access to certain information systems with the additional physical security information that the individual was actually present at the facility when the logical access occurred, may prove to be useful in investigations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization correlates information from audit records with information obtained from monitoring physical access to enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003edocumentation providing evidence of correlated information obtained from audit records and physical access monitoring records\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing capability to correlate information from audit records with information from monitoring physical access\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-6.7", + "class": "SP800-53-enhancement", + "title": "Permitted Actions", + "params": [ + { + "id": "au-6.7_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "information system process" + }, + { + "assignments": null, + "Value": "role" + }, + { + "assignments": null, + "Value": "user" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "AU-6 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization specifies the permitted actions for each \u003cinsert param-id=\"au-6.7_prm_1\"/\u003e associated with the review, analysis, and reporting of audit information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations specify permitted actions for information system processes, roles, and/or users associated with the review, analysis, and reporting of audit records through account management techniques. Specifying permitted actions on audit information is a way to enforce the principle of least privilege. Permitted actions are enforced by the information system and include, for example, read, write, execute, append, and delete.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization specifies the permitted actions for each one or more of the following associated with the review, analysis and reporting of audit information:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-6.7_obj_7.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(7)[1]" + } + ], + "prose": [ + "\u003cp\u003einformation system process;\u003c/p\u003e" + ] + }, + { + "id": "au-6.7_obj_7.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(7)[2]" + } + ], + "prose": [ + "\u003cp\u003erole; and/or\u003c/p\u003e" + ] + }, + { + "id": "au-6.7_obj_7.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(7)[3]" + } + ], + "prose": [ + "\u003cp\u003euser.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing process, role and/or user permitted actions from audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting permitted actions for review, analysis, and reporting of audit information\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-6.8", + "class": "SP800-53-enhancement", + "title": "Full Text Analysis of Privileged Commands", + "props": [ + { + "class": "name", + "value": "AU-6 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization performs a full text analysis of audited privileged commands in a physically distinct component or subsystem of the information system, or other information system that is dedicated to that analysis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires a distinct environment for the dedicated analysis of audit information related to privileged users without compromising such information on the information system where the users have elevated privileges including the capability to execute privileged commands. Full text analysis refers to analysis that considers the full text of privileged commands (i.e., commands and all parameters) as opposed to analysis that considers only the name of the command. Full text analysis includes, for example, the use of pattern matching and heuristics.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-3" + }, + { + "rel": "related", + "href": "#au-9" + }, + { + "rel": "related", + "href": "#au-11" + }, + { + "rel": "related", + "href": "#au-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization performs a full text analysis of audited privileged commands in:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-6.8_obj_8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(8)[1]" + } + ], + "prose": [ + "\u003cp\u003ea physically distinct component or subsystem of the information system; or\u003c/p\u003e" + ] + }, + { + "id": "au-6.8_obj_8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(8)[2]" + } + ], + "prose": [ + "\u003cp\u003eother information system that is dedicated to that analysis.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003etext analysis tools and techniques\u003c/p\u003e", + "\u003cp\u003etext analysis documentation of audited privileged commands\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing capability to perform a full text analysis of audited privilege commands\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-6.9", + "class": "SP800-53-enhancement", + "title": "Correlation with Information from Nontechnical Sources", + "props": [ + { + "class": "name", + "value": "AU-6 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNontechnical sources include, for example, human resources records documenting organizational policy violations (e.g., sexual harassment incidents, improper use of organizational information assets). Such information can lead organizations to a more directed analytical effort to detect potential malicious insider activity. Due to the sensitive nature of the information available from nontechnical sources, organizations limit access to such information to minimize the potential for the inadvertent release of privacy-related information to individuals that do not have a need to know. Thus, correlation of information from nontechnical sources with audit information generally occurs only when individuals are suspected of being involved in a security incident. Organizations obtain legal advice prior to initiating such actions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003edocumentation providing evidence of correlated information obtained from audit records and organization-defined nontechnical sources\u003c/p\u003e", + "\u003cp\u003elist of information types from nontechnical sources for correlation with audit information\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing capability to correlate information from non-technical sources\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-6.10", + "class": "SP800-53-enhancement", + "title": "Audit Level Adjustment", + "props": [ + { + "class": "name", + "value": "AU-6 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe frequency, scope, and/or depth of the audit review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-6.10_obj_10.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(10)[1]" + } + ], + "prose": [ + "\u003cp\u003elaw enforcement information;\u003c/p\u003e" + ] + }, + { + "id": "au-6.10_obj_10.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(10)[2]" + } + ], + "prose": [ + "\u003cp\u003eintelligence information; and/or\u003c/p\u003e" + ] + }, + { + "id": "au-6.10_obj_10.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-6(10)[3]" + } + ], + "prose": [ + "\u003cp\u003eother credible sources of information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit review, analysis, and reporting\u003c/p\u003e", + "\u003cp\u003eorganizational risk assessment\u003c/p\u003e", + "\u003cp\u003esecurity control assessment\u003c/p\u003e", + "\u003cp\u003evulnerability assessment\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit review, analysis, and reporting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting review, analysis, and reporting of audit information\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "au-7", + "class": "SP800-53", + "title": "Audit Reduction and Report Generation", + "props": [ + { + "class": "name", + "value": "AU-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides an audit reduction and report generation capability that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-7_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-7a." + } + ], + "prose": [ + "\u003cp\u003eSupports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and\u003c/p\u003e" + ] + }, + { + "id": "au-7_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-7b." + } + ], + "prose": [ + "\u003cp\u003eDoes not alter the original content or time ordering of audit records.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. Audit reduction and report generation capabilities do not always emanate from the same information system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system provides an audit reduction and report generation capability that supports:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-7_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-7(a)" + } + ], + "parts": [ + { + "id": "au-7_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-7(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eon-demand audit review;\u003c/p\u003e" + ] + }, + { + "id": "au-7_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-7(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eanalysis;\u003c/p\u003e" + ] + }, + { + "id": "au-7_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-7(a)[3]" + } + ], + "prose": [ + "\u003cp\u003ereporting requirements;\u003c/p\u003e" + ] + }, + { + "id": "au-7_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-7(a)[4]" + } + ], + "prose": [ + "\u003cp\u003eafter-the-fact investigations of security incidents; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-7_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-7(b)" + } + ], + "prose": [ + "\u003cp\u003edoes not alter the original content or time ordering of audit records.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit reduction and report generation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eaudit reduction, review, analysis, and reporting tools\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit reduction and report generation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit reduction and report generation capability\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "au-7.1", + "class": "SP800-53-enhancement", + "title": "Automatic Processing", + "params": [ + { + "id": "au-7.1_prm_1", + "label": "organization-defined audit fields within audit records" + } + ], + "props": [ + { + "class": "name", + "value": "AU-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides the capability to process audit records for events of interest based on \u003cinsert param-id=\"au-7.1_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEvents of interest can be identified by the content of specific audit record fields including, for example, identities of individuals, event types, event locations, event times, event dates, system resources involved, IP addresses involved, or information objects accessed. Organizations may define audit event criteria to any degree of granularity required, for example, locations selectable by general networking location (e.g., by network or subnetwork) or selectable by specific information system component.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-7.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-7(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines audit fields within audit records in order to process audit records for events of interest; and\u003c/p\u003e" + ] + }, + { + "id": "au-7.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-7(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides the capability to process audit records for events of interest based on the organization-defined audit fields within audit records.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit reduction and report generation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eaudit reduction, review, analysis, and reporting tools\u003c/p\u003e", + "\u003cp\u003eaudit record criteria (fields) establishing events of interest\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit reduction and report generation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit reduction and report generation capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-7.2", + "class": "SP800-53-enhancement", + "title": "Automatic Sort and Search", + "params": [ + { + "id": "au-7.2_prm_1", + "label": "organization-defined audit fields within audit records" + } + ], + "props": [ + { + "class": "name", + "value": "AU-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides the capability to sort and search audit records for events of interest based on the content of \u003cinsert param-id=\"au-7.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSorting and searching of audit records may be based upon the contents of audit record fields, for example: (i) date/time of events; (ii) user identifiers; (iii) Internet Protocol (IP) addresses involved in the event; (iv) type of event; or (v) event success/failure.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-7.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-7(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines audit fields within audit records in order to sort and search audit records for events of interest based on content of such audit fields; and\u003c/p\u003e" + ] + }, + { + "id": "au-7.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-7(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides the capability to sort and search audit records for events of interest based on the content of organization-defined audit fields within audit records.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit reduction and report generation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eaudit reduction, review, analysis, and reporting tools\u003c/p\u003e", + "\u003cp\u003eaudit record criteria (fields) establishing events of interest\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit reduction and report generation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit reduction and report generation capability\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "au-8", + "class": "SP800-53", + "title": "Time Stamps", + "params": [ + { + "id": "au-8_prm_1", + "label": "organization-defined granularity of time measurement" + } + ], + "props": [ + { + "class": "name", + "value": "AU-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-8_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-8a." + } + ], + "prose": [ + "\u003cp\u003eUses internal system clocks to generate time stamps for audit records; and\u003c/p\u003e" + ] + }, + { + "id": "au-8_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-8b." + } + ], + "prose": [ + "\u003cp\u003eRecords time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT) and meets \u003cinsert param-id=\"au-8_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTime stamps generated by the information system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-3" + }, + { + "rel": "related", + "href": "#au-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-8_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-8(a)" + } + ], + "prose": [ + "\u003cp\u003ethe information system uses internal system clocks to generate time stamps for audit records;\u003c/p\u003e" + ] + }, + { + "id": "au-8_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-8(b)" + } + ], + "parts": [ + { + "id": "au-8_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-8(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe information system records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT);\u003c/p\u003e" + ] + }, + { + "id": "au-8_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-8(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the granularity of time measurement to be met when recording time stamps for audit records; and\u003c/p\u003e" + ] + }, + { + "id": "au-8_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-8(b)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization records time stamps for audit records that meet the organization-defined granularity of time measurement.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing time stamp generation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing time stamp generation\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "au-8.1", + "class": "SP800-53-enhancement", + "title": "Synchronization with Authoritative Time Source", + "params": [ + { + "id": "au-8.1_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "au-8.1_prm_2", + "label": "organization-defined authoritative time source" + }, + { + "id": "au-8.1_prm_3", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "AU-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-8.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-8 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eCompares the internal information system clocks \u003cinsert param-id=\"au-8.1_prm_1\"/\u003e with \u003cinsert param-id=\"au-8.1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "au-8.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-8 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eSynchronizes the internal system clocks to the authoritative time source when the time difference is greater than \u003cinsert param-id=\"au-8.1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides uniformity of time stamps for information systems with multiple system clocks and systems connected over a network.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-8.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-8(1)(a)" + } + ], + "parts": [ + { + "id": "au-8.1_obj_1.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-8(1)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the authoritative time source to which internal information system clocks are to be compared;\u003c/p\u003e" + ] + }, + { + "id": "au-8.1_obj_1.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-8(1)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the frequency to compare the internal information system clocks with the organization-defined authoritative time source; and\u003c/p\u003e" + ] + }, + { + "id": "au-8.1_obj_1.a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-8(1)(a)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system compares the internal information system clocks with the organization-defined authoritative time source with organization-defined frequency; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-8.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-8(1)(b)" + } + ], + "parts": [ + { + "id": "au-8.1_obj_1.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-8(1)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the time period that, if exceeded by the time difference between the internal system clocks and the authoritative time source, will result in the internal system clocks being synchronized to the authoritative time source; and\u003c/p\u003e" + ] + }, + { + "id": "au-8.1_obj_1.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-8(1)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system synchronizes the internal information system clocks to the authoritative time source when the time difference is greater than the organization-defined time period.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing time stamp generation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing internal information system clock synchronization\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-8.2", + "class": "SP800-53-enhancement", + "title": "Secondary Authoritative Time Source", + "props": [ + { + "class": "name", + "value": "AU-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing time stamp generation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing internal information system clock authoritative time sources\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "au-9", + "class": "SP800-53", + "title": "Protection of Audit Information", + "props": [ + { + "class": "name", + "value": "AU-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system protects audit information and audit tools from unauthorized access, modification, and deletion.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#mp-2" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#pe-2" + }, + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#pe-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-9_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9[1]" + } + ], + "prose": [ + "\u003cp\u003ethe information system protects audit information from unauthorized:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-9_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9[1][a]" + } + ], + "prose": [ + "\u003cp\u003eaccess;\u003c/p\u003e" + ] + }, + { + "id": "au-9_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9[1][b]" + } + ], + "prose": [ + "\u003cp\u003emodification;\u003c/p\u003e" + ] + }, + { + "id": "au-9_obj_1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9[1][c]" + } + ], + "prose": [ + "\u003cp\u003edeletion;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-9_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system protects audit tools from unauthorized:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-9_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9[2][a]" + } + ], + "prose": [ + "\u003cp\u003eaccess;\u003c/p\u003e" + ] + }, + { + "id": "au-9_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9[2][b]" + } + ], + "prose": [ + "\u003cp\u003emodification; and\u003c/p\u003e" + ] + }, + { + "id": "au-9_obj_2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9[2][c]" + } + ], + "prose": [ + "\u003cp\u003edeletion.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation, information system audit records\u003c/p\u003e", + "\u003cp\u003eaudit tools\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing audit information protection\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "au-9.1", + "class": "SP800-53-enhancement", + "title": "Hardware Write-once Media", + "props": [ + { + "class": "name", + "value": "AU-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system writes audit trails to hardware-enforced, write-once media.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to the initial generation of audit trails (i.e., the collection of audit records that represents the audit information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. The enhancement does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes, for example, Compact Disk-Recordable (CD-R) and Digital Video Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB) drives results in write-protected, but not write-once, media.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-4" + }, + { + "rel": "related", + "href": "#au-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system writes audit trails to hardware-enforced, write-once media.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware settings\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system storage media\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media storing audit trails\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-9.2", + "class": "SP800-53-enhancement", + "title": "Audit Backup On Separate Physical Systems / Components", + "params": [ + { + "id": "au-9.2_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AU-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system backs up audit records \u003cinsert param-id=\"au-9.2_prm_1\"/\u003e onto a physically different system or system component than the system or component being audited.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-4" + }, + { + "rel": "related", + "href": "#au-5" + }, + { + "rel": "related", + "href": "#au-11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-9.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the frequency to back up audit records onto a physically different system or system component than the system or component being audited; and\u003c/p\u003e" + ] + }, + { + "id": "au-9.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system backs up audit records with the organization-defined frequency, onto a physically different system or system component than the system or component being audited.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation, system or media storing backups of information system audit records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing the backing up of audit records\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-9.3", + "class": "SP800-53-enhancement", + "title": "Cryptographic Protection", + "props": [ + { + "class": "name", + "value": "AU-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements cryptographic mechanisms to protect the integrity of audit information and audit tools.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic mechanisms used for protecting the integrity of audit information include, for example, signed hash functions using asymmetric cryptography enabling distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-10" + }, + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-9.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9(3)[1]" + } + ], + "prose": [ + "\u003cp\u003euses cryptographic mechanisms to protect the integrity of audit information; and\u003c/p\u003e" + ] + }, + { + "id": "au-9.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9(3)[2]" + } + ], + "prose": [ + "\u003cp\u003euses cryptographic mechanisms to protect the integrity of audit tools.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware settings\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation, information system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eCryptographic mechanisms protecting integrity of audit information and tools\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-9.4", + "class": "SP800-53-enhancement", + "title": "Access by Subset of Privileged Users", + "params": [ + { + "id": "au-9.4_prm_1", + "label": "organization-defined subset of privileged users" + } + ], + "props": [ + { + "class": "name", + "value": "AU-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization authorizes access to management of audit functionality to only \u003cinsert param-id=\"au-9.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndividuals with privileged access to an information system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit activities or modifying audit records. This control enhancement requires that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-9.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a subset of privileged users to be authorized access to management of audit functionality; and\u003c/p\u003e" + ] + }, + { + "id": "au-9.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eauthorizes access to management of audit functionality to only the organization-defined subset of privileged users.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation, system-generated list of privileged users with access to management of audit functionality\u003c/p\u003e", + "\u003cp\u003eaccess authorizations\u003c/p\u003e", + "\u003cp\u003eaccess control list\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms managing access to audit functionality\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-9.5", + "class": "SP800-53-enhancement", + "title": "Dual Authorization", + "params": [ + { + "id": "au-9.5_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "movement" + }, + { + "assignments": null, + "Value": "deletion" + } + ] + } + }, + { + "id": "au-9.5_prm_2", + "label": "organization-defined audit information" + } + ], + "props": [ + { + "class": "name", + "value": "AU-9 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization enforces dual authorization for \u003cinsert param-id=\"au-9.5_prm_1\"/\u003e of \u003cinsert param-id=\"au-9.5_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose different selection options for different types of audit information. Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#mp-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-9.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines audit information for which dual authorization is to be enforced;\u003c/p\u003e" + ] + }, + { + "id": "au-9.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9(5)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines one or more of the following types of operations on audit information for which dual authorization is to be enforced:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-9.5_obj_5.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9(5)[2][a]" + } + ], + "prose": [ + "\u003cp\u003emovement; and/or\u003c/p\u003e" + ] + }, + { + "id": "au-9.5_obj_5.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9(5)[2][b]" + } + ], + "prose": [ + "\u003cp\u003edeletion; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-9.5_obj_5.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9(5)[3]" + } + ], + "prose": [ + "\u003cp\u003eenforces dual authorization for the movement and/or deletion of organization-defined audit information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation, access authorizations\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing enforcement of dual authorization\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-9.6", + "class": "SP800-53-enhancement", + "title": "Read Only Access", + "params": [ + { + "id": "au-9.6_prm_1", + "label": "organization-defined subset of privileged users" + } + ], + "props": [ + { + "class": "name", + "value": "AU-9 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization authorizes read-only access to audit information to \u003cinsert param-id=\"au-9.6_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRestricting privileged user authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users (e.g., deleting audit records to cover up malicious activity).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-9.6_obj_6.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9(6)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the subset of privileged users to be authorized read-only access to audit information; and\u003c/p\u003e" + ] + }, + { + "id": "au-9.6_obj_6.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-9(6)[2]" + } + ], + "prose": [ + "\u003cp\u003eauthorizes read-only access to audit information to the organization-defined subset of privileged users.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing protection of audit information\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation, system-generated list of privileged users with read-only access to audit information\u003c/p\u003e", + "\u003cp\u003eaccess authorizations\u003c/p\u003e", + "\u003cp\u003eaccess control list\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit and accountability responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms managing access to audit information\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "au-10", + "class": "SP800-53", + "title": "Non-repudiation", + "params": [ + { + "id": "au-10_prm_1", + "label": "organization-defined actions to be covered by non-repudiation" + } + ], + "props": [ + { + "class": "name", + "value": "AU-10" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed \u003cinsert param-id=\"au-10_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTypes of individual actions covered by non-repudiation include, for example, creating information, sending and receiving messages, approving information (e.g., indicating concurrence or signing a contract). Non-repudiation protects individuals against later claims by: (i) authors of not having authored particular documents; (ii) senders of not having transmitted messages; (iii) receivers of not having received messages; or (iv) signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from a particular individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-8" + }, + { + "rel": "related", + "href": "#sc-13" + }, + { + "rel": "related", + "href": "#sc-16" + }, + { + "rel": "related", + "href": "#sc-17" + }, + { + "rel": "related", + "href": "#sc-23" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-10_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines actions to be covered by non-repudiation; and\u003c/p\u003e" + ] + }, + { + "id": "au-10_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed organization-defined actions to be covered by non-repudiation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "au-10.1", + "class": "SP800-53-enhancement", + "title": "Association of Identities", + "params": [ + { + "id": "au-10.1_prm_1", + "label": "organization-defined strength of binding" + } + ], + "props": [ + { + "class": "name", + "value": "AU-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-10.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-10 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eBinds the identity of the information producer with the information to \u003cinsert param-id=\"au-10.1_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "au-10.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-10 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eProvides the means for authorized individuals to determine the identity of the producer of the information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of the binding between the information producer and the information based on the security category of the information and relevant risk factors.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#ac-16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-10.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(1)(a)" + } + ], + "parts": [ + { + "id": "au-10.1_obj_1.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(1)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the strength of binding to be employed between the identity of the information producer and the information;\u003c/p\u003e" + ] + }, + { + "id": "au-10.1_obj_1.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(1)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system binds the identity of the information producer with the information to the organization-defined strength of binding; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-10.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(1)(b)" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides the means for authorized individuals to determine the identity of the producer of the information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-10.2", + "class": "SP800-53-enhancement", + "title": "Validate Binding of Information Producer Identity", + "params": [ + { + "id": "au-10.2_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "au-10.2_prm_2", + "label": "organization-defined actions" + } + ], + "props": [ + { + "class": "name", + "value": "AU-10 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-10.2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-10 (2)(a)" + } + ], + "prose": [ + "\u003cp\u003eValidates the binding of the information producer identity to the information at \u003cinsert param-id=\"au-10.2_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "au-10.2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-10 (2)(b)" + } + ], + "prose": [ + "\u003cp\u003ePerforms \u003cinsert param-id=\"au-10.2_prm_2\"/\u003e in the event of a validation error.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement prevents the modification of information between production and review. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#ac-16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-10.2_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(2)(a)" + } + ], + "parts": [ + { + "id": "au-10.2_obj_2.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(2)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the frequency to validate the binding of the information producer identity to the information;\u003c/p\u003e" + ] + }, + { + "id": "au-10.2_obj_2.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(2)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system validates the binding of the information producer identity to the information at the organization-defined frequency; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-10.2_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(2)(b)" + } + ], + "parts": [ + { + "id": "au-10.2_obj_2.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(2)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines actions to be performed in the event of a validation error; and\u003c/p\u003e" + ] + }, + { + "id": "au-10.2_obj_2.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(2)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system performs organization-defined actions in the event of a validation error.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003evalidation records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-10.3", + "class": "SP800-53-enhancement", + "title": "Chain of Custody", + "props": [ + { + "class": "name", + "value": "AU-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eChain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each person who handled the evidence, the date and time it was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release/transfer function, the information system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, this control enhancement provides organizational officials the means to identify who reviewed and released the information. In the case of automated reviews, this control enhancement ensures that only approved review functions are employed.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#ac-16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-10.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(3)[1]" + } + ], + "prose": [ + "\u003cp\u003emaintains reviewer/releaser identity within the established chain of custody for all information reviewed;\u003c/p\u003e" + ] + }, + { + "id": "au-10.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(3)[2]" + } + ], + "prose": [ + "\u003cp\u003emaintains reviewer/releaser identity within the established chain of custody for all information released;\u003c/p\u003e" + ] + }, + { + "id": "au-10.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(3)[3]" + } + ], + "prose": [ + "\u003cp\u003emaintains reviewer/releaser credentials within the established chain of custody for all information reviewed; and\u003c/p\u003e" + ] + }, + { + "id": "au-10.3_obj_3.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(3)[4]" + } + ], + "prose": [ + "\u003cp\u003emaintains reviewer/releaser credentials within the established chain of custody for all information released.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of information reviews and releases\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-10.4", + "class": "SP800-53-enhancement", + "title": "Validate Binding of Information Reviewer Identity", + "params": [ + { + "id": "au-10.4_prm_1", + "label": "organization-defined security domains" + }, + { + "id": "au-10.4_prm_2", + "label": "organization-defined actions" + } + ], + "props": [ + { + "class": "name", + "value": "AU-10 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-10.4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-10 (4)(a)" + } + ], + "prose": [ + "\u003cp\u003eValidates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between \u003cinsert param-id=\"au-10.4_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "au-10.4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-10 (4)(b)" + } + ], + "prose": [ + "\u003cp\u003ePerforms \u003cinsert param-id=\"au-10.4_prm_2\"/\u003e in the event of a validation error.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement prevents the modification of information between review and transfer/release. The validation of bindings can be achieved, for example, by the use of cryptographic checksums. Organizations determine validations are in response to user requests or generated automatically.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#ac-16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-10.4_obj_4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(4)(a)" + } + ], + "parts": [ + { + "id": "au-10.4_obj_4.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(4)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security domains for which the binding of the information reviewer identity to the information is to be validated at the transfer or release points prior to release/transfer between such domains;\u003c/p\u003e" + ] + }, + { + "id": "au-10.4_obj_4.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(4)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system validates the binding of the information reviewer identity to the information at the transfer or release points prior to release/transfer between organization-defined security domains;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-10.4_obj_4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(4)(b)" + } + ], + "parts": [ + { + "id": "au-10.4_obj_4.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(4)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines actions to be performed in the event of a validation error; and\u003c/p\u003e" + ] + }, + { + "id": "au-10.4_obj_4.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-10(4)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system performs organization-defined actions in the event of a validation error.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing non-repudiation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003evalidation records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing non-repudiation capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-10.5", + "class": "SP800-53-enhancement", + "title": "Digital Signatures", + "links": [ + { + "rel": "related", + "href": "#si-7" + } + ], + "props": [ + { + "class": "name", + "value": "AU-10 (5)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SI-7\u003c/i\u003e \u003ci\u003eIncorporated into SI-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-11", + "class": "SP800-53", + "title": "Audit Record Retention", + "params": [ + { + "id": "au-11_prm_1", + "label": "organization-defined time period consistent with records retention policy" + } + ], + "props": [ + { + "class": "name", + "value": "AU-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization retains audit records for \u003cinsert param-id=\"au-11_prm_1\"/\u003e to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations retain audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-4" + }, + { + "rel": "related", + "href": "#au-5" + }, + { + "rel": "related", + "href": "#au-9" + }, + { + "rel": "related", + "href": "#mp-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-11_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-11[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a time period to retain audit records that is consistent with records retention policy;\u003c/p\u003e" + ] + }, + { + "id": "au-11_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-11[2]" + } + ], + "prose": [ + "\u003cp\u003eretains audit records for the organization-defined time period consistent with records retention policy to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-11_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-11[2][a]" + } + ], + "prose": [ + "\u003cp\u003eprovide support for after-the-fact investigations of security incidents; and\u003c/p\u003e" + ] + }, + { + "id": "au-11_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-11[2][b]" + } + ], + "prose": [ + "\u003cp\u003emeet regulatory and organizational information retention requirements.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eaudit record retention policy and procedures\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eorganization-defined retention period for audit records\u003c/p\u003e", + "\u003cp\u003eaudit record archives\u003c/p\u003e", + "\u003cp\u003eaudit logs\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit record retention responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "au-11.1", + "class": "SP800-53-enhancement", + "title": "Long-term Retrieval Capability", + "params": [ + { + "id": "au-11.1_prm_1", + "label": "organization-defined measures" + } + ], + "props": [ + { + "class": "name", + "value": "AU-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"au-11.1_prm_1\"/\u003e to ensure that long-term audit records generated by the information system can be retrieved.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMeasures employed by organizations to help facilitate the retrieval of audit records include, for example, converting records to newer formats, retaining equipment capable of reading the records, and retaining necessary documentation to help organizational personnel understand how to interpret the records.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-11.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-11(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines measures to be employed to ensure that long-term audit records generated by the information system can be retrieved; and\u003c/p\u003e" + ] + }, + { + "id": "au-11.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-11(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined measures to ensure that long-term audit records generated by the information system can be retrieved.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eaudit record retention policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eaudit record archives\u003c/p\u003e", + "\u003cp\u003eaudit logs\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit record retention responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing audit record retention capability\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "au-12", + "class": "SP800-53", + "title": "Audit Generation", + "params": [ + { + "id": "au-12_prm_1", + "label": "organization-defined information system components" + }, + { + "id": "au-12_prm_2", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "AU-12" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-12_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-12a." + } + ], + "prose": [ + "\u003cp\u003eProvides audit record generation capability for the auditable events defined in AU-2 a. at \u003cinsert param-id=\"au-12_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "au-12_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-12b." + } + ], + "prose": [ + "\u003cp\u003eAllows \u003cinsert param-id=\"au-12_prm_2\"/\u003e to select which auditable events are to be audited by specific components of the information system; and\u003c/p\u003e" + ] + }, + { + "id": "au-12_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "AU-12c." + } + ], + "prose": [ + "\u003cp\u003eGenerates audit records for the events defined in AU-2 d. with the content defined in AU-3.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-3" + }, + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#au-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-12_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(a)" + } + ], + "parts": [ + { + "id": "au-12_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the information system components which are to provide audit record generation capability for the auditable events defined in AU-2a;\u003c/p\u003e" + ] + }, + { + "id": "au-12_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides audit record generation capability, for the auditable events defined in AU-2a, at organization-defined information system components;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-12_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(b)" + } + ], + "parts": [ + { + "id": "au-12_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the personnel or roles allowed to select which auditable events are to be audited by specific components of the information system;\u003c/p\u003e" + ] + }, + { + "id": "au-12_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system allows the organization-defined personnel or roles to select which auditable events are to be audited by specific components of the system; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "au-12_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(c)" + } + ], + "prose": [ + "\u003cp\u003ethe information system generates audit records for the events defined in AU-2d with the content in defined in AU-3.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit record generation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of auditable events\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit record generation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing audit record generation capability\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "au-12.1", + "class": "SP800-53-enhancement", + "title": "System-wide / Time-correlated Audit Trail", + "params": [ + { + "id": "au-12.1_prm_1", + "label": "organization-defined information system components" + }, + { + "id": "au-12.1_prm_2", + "label": "organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail" + } + ], + "props": [ + { + "class": "name", + "value": "AU-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system compiles audit records from \u003cinsert param-id=\"au-12.1_prm_1\"/\u003e into a system-wide (logical or physical) audit trail that is time-correlated to within \u003cinsert param-id=\"au-12.1_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-8" + }, + { + "rel": "related", + "href": "#au-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-12.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the information system components from which audit records are to be compiled into a system-wide (logical or physical) audit trail;\u003c/p\u003e" + ] + }, + { + "id": "au-12.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the level of tolerance for the relationship between time stamps of individual records in the audit trail; and\u003c/p\u003e" + ] + }, + { + "id": "au-12.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(1)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system compiles audit records from organization-defined information system components into a system-wide (logical or physical) audit trail that is time-correlated to within the organization-defined level of tolerance for the relationship between time stamps of individual records in the audit trail.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit record generation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esystem-wide audit trail (logical or physical)\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit record generation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing audit record generation capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-12.2", + "class": "SP800-53-enhancement", + "title": "Standardized Formats", + "props": [ + { + "class": "name", + "value": "AU-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAudit information that is normalized to common standards promotes interoperability and exchange of such information between dissimilar devices and information systems. This facilitates production of event information that can be more readily analyzed and correlated. Standard formats for audit records include, for example, system log records and audit records compliant with Common Event Expressions (CEE). If logging mechanisms within information systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit record generation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esystem-wide audit trail (logical or physical)\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit record generation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing audit record generation capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-12.3", + "class": "SP800-53-enhancement", + "title": "Changes by Authorized Individuals", + "params": [ + { + "id": "au-12.3_prm_1", + "label": "organization-defined individuals or roles" + }, + { + "id": "au-12.3_prm_2", + "label": "organization-defined information system components" + }, + { + "id": "au-12.3_prm_3", + "label": "organization-defined selectable event criteria" + }, + { + "id": "au-12.3_prm_4", + "label": "organization-defined time thresholds" + } + ], + "props": [ + { + "class": "name", + "value": "AU-12 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides the capability for \u003cinsert param-id=\"au-12.3_prm_1\"/\u003e to change the auditing to be performed on \u003cinsert param-id=\"au-12.3_prm_2\"/\u003e based on \u003cinsert param-id=\"au-12.3_prm_3\"/\u003e within \u003cinsert param-id=\"au-12.3_prm_4\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve information system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of events to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which audit actions are changed, for example, near real-time, within minutes, or within hours.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\t\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-12.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(3)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information system components on which auditing is to be performed;\u003c/p\u003e" + ] + }, + { + "id": "au-12.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines individuals or roles authorized to change the auditing to be performed on organization-defined information system components;\u003c/p\u003e" + ] + }, + { + "id": "au-12.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(3)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines time thresholds within which organization-defined individuals or roles can change the auditing to be performed on organization-defined information system components;\u003c/p\u003e" + ] + }, + { + "id": "au-12.3_obj_3.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(3)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines selectable event criteria that support the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components; and\u003c/p\u003e" + ] + }, + { + "id": "au-12.3_obj_3.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-12(3)[5]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides the capability for organization-defined individuals or roles to change the auditing to be performed on organization-defined information system components based on organization-defined selectable event criteria within organization-defined time thresholds.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing audit record generation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esystem-generated list of individuals or roles authorized to change auditing to be performed\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with audit record generation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing audit record generation capability\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "au-13", + "class": "SP800-53", + "title": "Monitoring for Information Disclosure", + "params": [ + { + "id": "au-13_prm_1", + "label": "organization-defined open source information and/or information sites" + }, + { + "id": "au-13_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AU-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization monitors \u003cinsert param-id=\"au-13_prm_1\"/\u003e \u003cinsert param-id=\"au-13_prm_2\"/\u003e for evidence of unauthorized disclosure of organizational information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOpen source information includes, for example, social networking sites.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#sc-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-13_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-13[1]" + } + ], + "prose": [ + "\u003cp\u003edefines open source information and/or information sites to be monitored for evidence of unauthorized disclosure of organizational information;\u003c/p\u003e" + ] + }, + { + "id": "au-13_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-13[2]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to monitor organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information; and\u003c/p\u003e" + ] + }, + { + "id": "au-13_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-13[3]" + } + ], + "prose": [ + "\u003cp\u003emonitors organization-defined open source information and/or information sites for evidence of unauthorized disclosure of organizational information with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information disclosure monitoring\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003emonitoring records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for monitoring open source information and/or information sites\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing monitoring for information disclosure\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "au-13.1", + "class": "SP800-53-enhancement", + "title": "Use of Automated Tools", + "props": [ + { + "class": "name", + "value": "AU-13 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can include, for example, automated scripts to monitor new posts on selected websites, and commercial services providing notifications and alerts to organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information disclosure monitoring\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eautomated monitoring tools\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for monitoring information disclosures\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing monitoring for information disclosure\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-13.2", + "class": "SP800-53-enhancement", + "title": "Review of Monitored Sites", + "params": [ + { + "id": "au-13.2_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "AU-13 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization reviews the open source information sites being monitored \u003cinsert param-id=\"au-13.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-13.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-13(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to review the open source information sites being monitored; and\u003c/p\u003e" + ] + }, + { + "id": "au-13.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-13(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews the open source information sites being monitored with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information disclosure monitoring\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ereviews for open source information sites being monitored\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for monitoring open source information sites\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing monitoring for information disclosure\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "au-14", + "class": "SP800-53", + "title": "Session Audit", + "props": [ + { + "class": "name", + "value": "AU-14" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides the capability for authorized users to select a user session to capture/record or view/hear.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSession audits include, for example, monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session auditing activities are developed, integrated, and used in consultation with legal counsel in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, or standards.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#au-4" + }, + { + "rel": "related", + "href": "#au-5" + }, + { + "rel": "related", + "href": "#au-9" + }, + { + "rel": "related", + "href": "#au-11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system provides the capability for authorized users to select a user session to: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-14_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-14[1]" + } + ], + "prose": [ + "\u003cp\u003ecapture/record; and/or\u003c/p\u003e" + ] + }, + { + "id": "au-14_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-14[2]" + } + ], + "prose": [ + "\u003cp\u003eview/hear.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user session auditing\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing user session auditing capability\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "au-14.1", + "class": "SP800-53-enhancement", + "title": "System Start-up", + "props": [ + { + "class": "name", + "value": "AU-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system initiates session audits at system start-up.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system initiates session audits at system start-up. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user session auditing\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing user session auditing capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-14.2", + "class": "SP800-53-enhancement", + "title": "Capture/record and Log Content", + "props": [ + { + "class": "name", + "value": "AU-14 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides the capability for authorized users to capture/record and log content related to a user session.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system provides the capability for authorized users to: \u003c/p\u003e" + ], + "parts": [ + { + "id": "au-14.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-14(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ecapture/record content related to a user session; and\u003c/p\u003e" + ] + }, + { + "id": "au-14.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-14(2)[2]" + } + ], + "prose": [ + "\u003cp\u003elog content related to a user session.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user session auditing\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing user session auditing capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-14.3", + "class": "SP800-53-enhancement", + "title": "Remote Viewing / Listening", + "props": [ + { + "class": "name", + "value": "AU-14 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user session auditing\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing user session auditing capability\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "au-15", + "class": "SP800-53", + "title": "Alternate Audit Capability", + "params": [ + { + "id": "au-15_prm_1", + "label": "organization-defined alternate audit functionality" + } + ], + "props": [ + { + "class": "name", + "value": "AU-15" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides an alternate audit capability in the event of a failure in primary audit capability that provides \u003cinsert param-id=\"au-15_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSince an alternate audit capability may be a short-term protection employed until the failure in the primary auditing capability is corrected, organizations may determine that the alternate audit capability need only provide a subset of the primary audit functionality that is impacted by the failure.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-15_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-15[1]" + } + ], + "prose": [ + "\u003cp\u003edefines alternative audit functionality to be provided in the event of a failure in primary audit capability; and\u003c/p\u003e" + ] + }, + { + "id": "au-15_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-15[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides an alternative audit capability in the event of a failure in primary audit capability that provides organization-defined alternative audit functionality.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternate audit capability\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003etest records for alternative audit capability\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel responsible for providing alternate audit capability\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing alternative audit capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-16", + "class": "SP800-53", + "title": "Cross-organizational Auditing", + "params": [ + { + "id": "au-16_prm_1", + "label": "organization-defined methods" + }, + { + "id": "au-16_prm_2", + "label": "organization-defined audit information" + } + ], + "props": [ + { + "class": "name", + "value": "AU-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"au-16_prm_1\"/\u003e for coordinating \u003cinsert param-id=\"au-16_prm_2\"/\u003e among external organizations when audit information is transmitted across organizational boundaries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen organizations use information systems and/or services of external organizations, the auditing capability necessitates a coordinated approach across organizations. For example, maintaining the identity of individuals that requested particular services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance ramifications. Therefore, it is often the case that cross-organizational auditing (e.g., the type of auditing capability provided by service-oriented architectures) simply captures the identity of individuals issuing requests at the initial information system, and subsequent systems record that the requests emanated from authorized individuals.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-16_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-16[1]" + } + ], + "prose": [ + "\u003cp\u003edefines audit information to be coordinated among external organizations when audit information is transmitted across organizational boundaries;\u003c/p\u003e" + ] + }, + { + "id": "au-16_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-16[2]" + } + ], + "prose": [ + "\u003cp\u003edefines methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries; and\u003c/p\u003e" + ] + }, + { + "id": "au-16_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-16[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing methods for coordinating audit information among external organizations\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003emethods for coordinating audit information among external organizations\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for coordinating audit information among external organizations\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing cross-organizational auditing (if applicable)\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "au-16.1", + "class": "SP800-53-enhancement", + "title": "Identity Preservation", + "props": [ + { + "class": "name", + "value": "AU-16 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires that the identity of individuals be preserved in cross-organizational audit trails.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires that the identity of individuals be preserved in cross- organizational audit trails.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing cross-organizational audit trails\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with cross-organizational audit responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing cross-organizational auditing (if applicable)\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "au-16.2", + "class": "SP800-53-enhancement", + "title": "Sharing of Audit Information", + "params": [ + { + "id": "au-16.2_prm_1", + "label": "organization-defined organizations" + }, + { + "id": "au-16.2_prm_2", + "label": "organization-defined cross-organizational sharing agreements" + } + ], + "props": [ + { + "class": "name", + "value": "AU-16 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides cross-organizational audit information to \u003cinsert param-id=\"au-16.2_prm_1\"/\u003e based on \u003cinsert param-id=\"au-16.2_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBecause of the distributed nature of the audit information, cross-organization sharing of audit information may be essential for effective analysis of the auditing being performed. For example, the audit records of one organization may not provide sufficient information to determine the appropriate or inappropriate use of organizational information resources by individuals in other organizations. In some instances, only the home organizations of individuals have the appropriate knowledge to make such determinations, thus requiring the sharing of audit information among organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "au-16.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-16(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines organizations with whom cross-organizational audit information is to be shared;\u003c/p\u003e" + ] + }, + { + "id": "au-16.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-16(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines cross-organizational sharing agreements to be used when providing cross-organizational audit information to organization-defined organizations; and\u003c/p\u003e" + ] + }, + { + "id": "au-16.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "AU-16(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eprovides cross-organizational audit information to organization-defined organizations based on organization-defined cross-organizational sharing agreements.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAudit and accountability policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing cross-organizational sharing of audit information\u003c/p\u003e", + "\u003cp\u003ecross-organizational sharing agreements\u003c/p\u003e", + "\u003cp\u003edata sharing agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for sharing cross-organizational audit information\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "Security Assessment and Authorization", + "controls": [ + { + "id": "ca-1", + "class": "SP800-53", + "title": "Security Assessment and Authorization Policy and Procedures", + "params": [ + { + "id": "ca-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "ca-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "ca-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ca-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-1a.1." + } + ], + "prose": [ + "\u003cp\u003eA security assessment and authorization policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "ca-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the security assessment and authorization policy and associated security assessment and authorization controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-1b.1." + } + ], + "prose": [ + "\u003cp\u003eSecurity assessment and authorization policy \u003cinsert param-id=\"ca-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ca-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-1b.2." + } + ], + "prose": [ + "\u003cp\u003eSecurity assessment and authorization procedures \u003cinsert param-id=\"ca-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)" + } + ], + "parts": [ + { + "id": "ca-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents a security assessment and authorization policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "ca-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "ca-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "ca-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "ca-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "ca-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "ca-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the security assessment and authorization policy is to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "ca-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the security assessment and authorization policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(2)" + } + ], + "parts": [ + { + "id": "ca-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the security assessment and authorization policy and associated assessment and authorization controls;\u003c/p\u003e" + ] + }, + { + "id": "ca-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "ca-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(b)(1)" + } + ], + "parts": [ + { + "id": "ca-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current security assessment and authorization policy;\u003c/p\u003e" + ] + }, + { + "id": "ca-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current security assessment and authorization policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(b)(2)" + } + ], + "parts": [ + { + "id": "ca-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current security assessment and authorization procedures; and\u003c/p\u003e" + ] + }, + { + "id": "ca-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current security assessment and authorization procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity assessment and authorization policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security assessment and authorization responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ca-2", + "class": "SP800-53", + "title": "Security Assessments", + "params": [ + { + "id": "ca-2_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "ca-2_prm_2", + "label": "organization-defined individuals or roles" + } + ], + "props": [ + { + "class": "name", + "value": "CA-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-2a." + } + ], + "prose": [ + "\u003cp\u003eDevelops a security assessment plan that describes the scope of the assessment including:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-2_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-2a.1." + } + ], + "prose": [ + "\u003cp\u003eSecurity controls and control enhancements under assessment;\u003c/p\u003e" + ] + }, + { + "id": "ca-2_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-2a.2." + } + ], + "prose": [ + "\u003cp\u003eAssessment procedures to be used to determine security control effectiveness; and\u003c/p\u003e" + ] + }, + { + "id": "ca-2_smt_a.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-2a.3." + } + ], + "prose": [ + "\u003cp\u003eAssessment environment, assessment team, and assessment roles and responsibilities;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-2b." + } + ], + "prose": [ + "\u003cp\u003eAssesses the security controls in the information system and its environment of operation \u003cinsert param-id=\"ca-2_prm_1\"/\u003e to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;\u003c/p\u003e" + ] + }, + { + "id": "ca-2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-2c." + } + ], + "prose": [ + "\u003cp\u003eProduces a security assessment report that documents the results of the assessment; and\u003c/p\u003e" + ] + }, + { + "id": "ca-2_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-2d." + } + ], + "prose": [ + "\u003cp\u003eProvides the results of the security control assessment to \u003cinsert param-id=\"ca-2_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives. To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-5" + }, + { + "rel": "related", + "href": "#ca-6" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#pm-9" + }, + { + "rel": "related", + "href": "#ra-5" + }, + { + "rel": "related", + "href": "#sa-11" + }, + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-2_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(a)" + } + ], + "prose": [ + "\u003cp\u003edevelops a security assessment plan that describes the scope of the assessment including:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-2_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(a)(1)" + } + ], + "prose": [ + "\u003cp\u003esecurity controls and control enhancements under assessment;\u003c/p\u003e" + ] + }, + { + "id": "ca-2_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(a)(2)" + } + ], + "prose": [ + "\u003cp\u003eassessment procedures to be used to determine security control effectiveness;\u003c/p\u003e" + ] + }, + { + "id": "ca-2_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(a)(3)" + } + ], + "parts": [ + { + "id": "ca-2_obj_a.3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(a)(3)[1]" + } + ], + "prose": [ + "\u003cp\u003eassessment environment;\u003c/p\u003e" + ] + }, + { + "id": "ca-2_obj_a.3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(a)(3)[2]" + } + ], + "prose": [ + "\u003cp\u003eassessment team;\u003c/p\u003e" + ] + }, + { + "id": "ca-2_obj_a.3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(a)(3)[3]" + } + ], + "prose": [ + "\u003cp\u003eassessment roles and responsibilities;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ca-2_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(b)" + } + ], + "parts": [ + { + "id": "ca-2_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to assess the security controls in the information system and its environment of operation;\u003c/p\u003e" + ] + }, + { + "id": "ca-2_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eassesses the security controls in the information system with the organization-defined frequency to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting established security requirements;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-2_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(c)" + } + ], + "prose": [ + "\u003cp\u003eproduces a security assessment report that documents the results of the assessment;\u003c/p\u003e" + ] + }, + { + "id": "ca-2_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(d)" + } + ], + "parts": [ + { + "id": "ca-2_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines individuals or roles to whom the results of the security control assessment are to be provided; and\u003c/p\u003e" + ] + }, + { + "id": "ca-2_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(d)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides the results of the security control assessment to organization-defined individuals or roles.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security assessment planning\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security assessments\u003c/p\u003e", + "\u003cp\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting security assessment, security assessment plan development, and/or security assessment reporting\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ca-2.1", + "class": "SP800-53-enhancement", + "title": "Independent Assessors", + "params": [ + { + "id": "ca-2.1_prm_1", + "label": "organization-defined level of independence" + } + ], + "props": [ + { + "class": "name", + "value": "CA-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs assessors or assessment teams with \u003cinsert param-id=\"ca-2.1_prm_1\"/\u003e to conduct security control assessments.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndependent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-2.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the level of independence to be employed to conduct security control assessments; and\u003c/p\u003e" + ] + }, + { + "id": "ca-2.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys assessors or assessment teams with the organization-defined level of independence to conduct security control assessments.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security assessments\u003c/p\u003e", + "\u003cp\u003esecurity authorization package (including security plan, security assessment plan, security assessment report, plan of action and milestones, authorization statement)\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ca-2.2", + "class": "SP800-53-enhancement", + "title": "Specialized Assessments", + "params": [ + { + "id": "ca-2.2_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "ca-2.2_prm_2", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "announced" + }, + { + "assignments": null, + "Value": "unannounced" + } + ] + } + }, + { + "id": "ca-2.2_prm_3", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "in-depth monitoring" + }, + { + "assignments": null, + "Value": "vulnerability scanning" + }, + { + "assignments": null, + "Value": "malicious user testing" + }, + { + "assignments": null, + "Value": "insider threat assessment" + }, + { + "assignments": null, + "Value": "performance/load testing" + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "ca-2.2_prm_4", + "dependsOn": "ca-2.2_prm_3", + "label": "organization-defined other forms of security assessment" + } + ], + "props": [ + { + "class": "name", + "value": "CA-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization includes as part of security control assessments, \u003cinsert param-id=\"ca-2.2_prm_1\"/\u003e, \u003cinsert param-id=\"ca-2.2_prm_2\"/\u003e, \u003cinsert param-id=\"ca-2.2_prm_3\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can employ information system monitoring, insider threat assessments, malicious user testing, and other forms of testing (e.g., verification and validation) to improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security. Organizations conduct assessment activities in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability remediation processes.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#si-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-2.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(2)[1]" + } + ], + "prose": [ + "\u003cp\u003eselects one or more of the following forms of specialized security assessment to be included as part of security control assessments:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-2.2_obj_2.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][a]" + } + ], + "prose": [ + "\u003cp\u003ein-depth monitoring;\u003c/p\u003e" + ] + }, + { + "id": "ca-2.2_obj_2.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][b]" + } + ], + "prose": [ + "\u003cp\u003evulnerability scanning;\u003c/p\u003e" + ] + }, + { + "id": "ca-2.2_obj_2.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][c]" + } + ], + "prose": [ + "\u003cp\u003emalicious user testing;\u003c/p\u003e" + ] + }, + { + "id": "ca-2.2_obj_2.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][d]" + } + ], + "prose": [ + "\u003cp\u003einsider threat assessment;\u003c/p\u003e" + ] + }, + { + "id": "ca-2.2_obj_2.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][e]" + } + ], + "prose": [ + "\u003cp\u003eperformance/load testing; and/or\u003c/p\u003e" + ] + }, + { + "id": "ca-2.2_obj_2.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(2)[1][f]" + } + ], + "prose": [ + "\u003cp\u003eother forms of organization-defined specialized security assessment;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-2.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency for conducting the selected form(s) of specialized security assessment;\u003c/p\u003e" + ] + }, + { + "id": "ca-2.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines whether the specialized security assessment will be announced or unannounced; and\u003c/p\u003e" + ] + }, + { + "id": "ca-2.2_obj_2.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(2)[4]" + } + ], + "prose": [ + "\u003cp\u003econducts announced or unannounced organization-defined forms of specialized security assessments with the organization-defined frequency as part of security control assessments.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security assessments\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting security control assessment\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ca-2.3", + "class": "SP800-53-enhancement", + "title": "External Organizations", + "params": [ + { + "id": "ca-2.3_prm_1", + "label": "organization-defined information system" + }, + { + "id": "ca-2.3_prm_2", + "label": "organization-defined external organization" + }, + { + "id": "ca-2.3_prm_3", + "label": "organization-defined requirements" + } + ], + "props": [ + { + "class": "name", + "value": "CA-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization accepts the results of an assessment of \u003cinsert param-id=\"ca-2.3_prm_1\"/\u003e performed by \u003cinsert param-id=\"ca-2.3_prm_2\"/\u003e when the assessment meets \u003cinsert param-id=\"ca-2.3_prm_3\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may often rely on assessments of specific information systems by other (external) organizations. Utilizing such existing assessments (i.e., reusing existing assessment evidence) can significantly decrease the time and resources required for organizational assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations may consider in determining whether to accept assessment results from external organizations can vary. Determinations for accepting assessment results can be based on, for example, past assessment experiences one organization has had with another organization, the reputation that organizations have with regard to assessments, the level of detail of supporting assessment documentation provided, or mandates imposed upon organizations by federal legislation, policies, or directives.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-2.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines an information system for which the results of a security assessment performed by an external organization are to be accepted;\u003c/p\u003e" + ] + }, + { + "id": "ca-2.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines an external organization from which to accept a security assessment performed on an organization-defined information system;\u003c/p\u003e" + ] + }, + { + "id": "ca-2.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(3)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines the requirements to be met by a security assessment performed by organization-defined external organization on organization-defined information system; and\u003c/p\u003e" + ] + }, + { + "id": "ca-2.3_obj_3.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-2(3)[4]" + } + ], + "prose": [ + "\u003cp\u003eaccepts the results of an assessment of an organization-defined information system performed by an organization-defined external organization when the assessment meets organization-defined requirements.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security assessments\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment requirements\u003c/p\u003e", + "\u003cp\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003epersonnel performing security assessments for the specified external organization\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ca-3", + "class": "SP800-53", + "title": "System Interconnections", + "params": [ + { + "id": "ca-3_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-3a." + } + ], + "prose": [ + "\u003cp\u003eAuthorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;\u003c/p\u003e" + ] + }, + { + "id": "ca-3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-3b." + } + ], + "prose": [ + "\u003cp\u003eDocuments, for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated; and\u003c/p\u003e" + ] + }, + { + "id": "ca-3_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-3c." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates Interconnection Security Agreements \u003cinsert param-id=\"ca-3_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to dedicated connections between information systems (i.e., system interconnections) and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations carefully consider the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within organizations and external to organizations. Authorizing officials determine the risk associated with information system connections and the appropriate controls employed. If interconnecting systems have the same authorizing official, organizations do not need to develop Interconnection Security Agreements. Instead, organizations can describe the interface characteristics between those interconnecting systems in their respective security plans. If interconnecting systems have different authorizing officials within the same organization, organizations can either develop Interconnection Security Agreements or describe the interface characteristics between systems in the security plans for the respective systems. Organizations may also incorporate Interconnection Security Agreement information into formal contracts, especially for interconnections established between federal agencies and nonfederal (i.e., private sector) organizations. Risk considerations also include information systems sharing the same networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices), there may be specialized connections in place during preoperational testing. Such connections may require Interconnection Security Agreements and be subject to additional security controls.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#ac-20" + }, + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-12" + }, + { + "rel": "related", + "href": "#au-16" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#ia-3" + }, + { + "rel": "related", + "href": "#sa-9" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-3_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(a)" + } + ], + "prose": [ + "\u003cp\u003eauthorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;\u003c/p\u003e" + ] + }, + { + "id": "ca-3_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(b)" + } + ], + "prose": [ + "\u003cp\u003edocuments, for each interconnection:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-3_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe interface characteristics;\u003c/p\u003e" + ] + }, + { + "id": "ca-3_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe security requirements;\u003c/p\u003e" + ] + }, + { + "id": "ca-3_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(b)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe nature of the information communicated;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-3_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(c)" + } + ], + "parts": [ + { + "id": "ca-3_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update Interconnection Security Agreements; and\u003c/p\u003e" + ] + }, + { + "id": "ca-3_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(c)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates Interconnection Security Agreements with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003einformation system Interconnection Security Agreements\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for developing, implementing, or approving information system interconnection agreements\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003epersonnel managing the system(s) to which the Interconnection Security Agreement applies\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ca-3.1", + "class": "SP800-53-enhancement", + "title": "Unclassified National Security System Connections", + "params": [ + { + "id": "ca-3.1_prm_1", + "label": "organization-defined unclassified, national security system" + }, + { + "id": "ca-3.1_prm_2", + "label": "organization-defined boundary protection device" + } + ], + "props": [ + { + "class": "name", + "value": "CA-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization prohibits the direct connection of an \u003cinsert param-id=\"ca-3.1_prm_1\"/\u003e to an external network without the use of \u003cinsert param-id=\"ca-3.1_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-3.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines an unclassified, national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;\u003c/p\u003e" + ] + }, + { + "id": "ca-3.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, national security system to an external network; and\u003c/p\u003e" + ] + }, + { + "id": "ca-3.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(1)[3]" + } + ], + "prose": [ + "\u003cp\u003eprohibits the direct connection of an organization-defined unclassified, national security system to an external network without the use of an organization-defined boundary protection device.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003einformation system interconnection security agreements\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for managing direct connections to external networks\u003c/p\u003e", + "\u003cp\u003enetwork administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003epersonnel managing directly connected external networks\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting the management of external network connections\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ca-3.2", + "class": "SP800-53-enhancement", + "title": "Classified National Security System Connections", + "params": [ + { + "id": "ca-3.2_prm_1", + "label": "organization-defined boundary protection device" + } + ], + "props": [ + { + "class": "name", + "value": "CA-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization prohibits the direct connection of a classified, national security system to an external network without the use of \u003cinsert param-id=\"ca-3.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between classified national security systems and external networks. In addition, approved boundary protection devices (typically managed interface/cross-domain systems) provide information flow enforcement from information systems to external networks.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-3.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a boundary protection device to be used to establish the direct connection of a classified, national security system to an external network; and\u003c/p\u003e" + ] + }, + { + "id": "ca-3.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eprohibits the direct connection of a classified, national security system to an external network without the use of an organization-defined boundary protection device.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003einformation system interconnection security agreements\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for managing direct connections to external networks\u003c/p\u003e", + "\u003cp\u003enetwork administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003epersonnel managing directly connected external networks\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting the management of external network connections\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ca-3.3", + "class": "SP800-53-enhancement", + "title": "Unclassified Non-national Security System Connections", + "params": [ + { + "id": "ca-3.3_prm_1", + "label": "organization-defined unclassified, non-national security system" + }, + { + "id": "ca-3.3_prm_2", + "label": "Assignment; organization-defined boundary protection device" + } + ], + "props": [ + { + "class": "name", + "value": "CA-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization prohibits the direct connection of an \u003cinsert param-id=\"ca-3.3_prm_1\"/\u003e to an external network without the use of \u003cinsert param-id=\"ca-3.3_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified non-national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-3.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines an unclassified, non-national security system whose direct connection to an external network is to be prohibited without the use of approved boundary protection device;\u003c/p\u003e" + ] + }, + { + "id": "ca-3.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines a boundary protection device to be used to establish the direct connection of an organization-defined unclassified, non-national security system to an external network; and\u003c/p\u003e" + ] + }, + { + "id": "ca-3.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(3)[3]" + } + ], + "prose": [ + "\u003cp\u003eprohibits the direct connection of an organization-defined unclassified, non-national security system to an external network without the use of an organization-defined boundary protection device.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003einformation system interconnection security agreements\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for managing direct connections to external networks\u003c/p\u003e", + "\u003cp\u003enetwork administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003epersonnel managing directly connected external networks\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting the management of external network connections\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ca-3.4", + "class": "SP800-53-enhancement", + "title": "Connections to Public Networks", + "params": [ + { + "id": "ca-3.4_prm_1", + "label": "organization-defined information system" + } + ], + "props": [ + { + "class": "name", + "value": "CA-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization prohibits the direct connection of an \u003cinsert param-id=\"ca-3.4_prm_1\"/\u003e to a public network.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA public network is any network accessible to the general public including, for example, the Internet and organizational extranets with public access.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-3.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines an information system whose direct connection to a public network is to be prohibited; and\u003c/p\u003e" + ] + }, + { + "id": "ca-3.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eprohibits the direct connection of an organization-defined information system to a public network.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003einformation system interconnection security agreements\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eNetwork administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting the management of public network connections\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ca-3.5", + "class": "SP800-53-enhancement", + "title": "Restrictions On External System Connections", + "params": [ + { + "id": "ca-3.5_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "allow-all, deny-by-exception" + }, + { + "assignments": null, + "Value": "deny-all, permit-by-exception" + } + ] + } + }, + { + "id": "ca-3.5_prm_2", + "label": "organization-defined information systems" + } + ], + "props": [ + { + "class": "name", + "value": "CA-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"ca-3.5_prm_1\"/\u003e policy for allowing \u003cinsert param-id=\"ca-3.5_prm_2\"/\u003e to connect to external information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can constrain information system connectivity to external domains (e.g., websites) by employing one of two policies with regard to such connectivity: (i) allow-all, deny by exception, also known as blacklisting (the weaker of the two policies); or (ii) deny-all, allow by exception, also known as whitelisting (the stronger of the two policies). For either policy, organizations determine what exceptions, if any, are acceptable.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-3.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information systems to be allowed to connect to external information systems;\u003c/p\u003e" + ] + }, + { + "id": "ca-3.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(5)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys one of the following policies for allowing organization-defined information systems to connect to external information systems:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-3.5_obj_5.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(5)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eallow-all policy;\u003c/p\u003e" + ] + }, + { + "id": "ca-3.5_obj_5.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(5)[2][b]" + } + ], + "prose": [ + "\u003cp\u003edeny-by-exception policy;\u003c/p\u003e" + ] + }, + { + "id": "ca-3.5_obj_5.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(5)[2][c]" + } + ], + "prose": [ + "\u003cp\u003edeny-all policy; or\u003c/p\u003e" + ] + }, + { + "id": "ca-3.5_obj_5.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-3(5)[2][d]" + } + ], + "prose": [ + "\u003cp\u003epermit-by-exception policy.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003einformation system interconnection agreements\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for managing connections to external information systems\u003c/p\u003e", + "\u003cp\u003enetwork administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing restrictions on external system connections\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ca-4", + "class": "SP800-53", + "title": "Security Certification", + "links": [ + { + "rel": "related", + "href": "#ca-2" + } + ], + "props": [ + { + "class": "name", + "value": "CA-4" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CA-2\u003c/i\u003e \u003ci\u003eIncorporated into CA-2\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-5", + "class": "SP800-53", + "title": "Plan of Action and Milestones", + "params": [ + { + "id": "ca-5_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-5a." + } + ], + "prose": [ + "\u003cp\u003eDevelops a plan of action and milestones for the information system to document the organization’s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and\u003c/p\u003e" + ] + }, + { + "id": "ca-5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-5b." + } + ], + "prose": [ + "\u003cp\u003eUpdates existing plan of action and milestones \u003cinsert param-id=\"ca-5_prm_1\"/\u003e based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlans of action and milestones are key documents in security authorization packages and are subject to federal reporting requirements established by OMB.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-2" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cm-4" + }, + { + "rel": "related", + "href": "#pm-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-5_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-5(a)" + } + ], + "prose": [ + "\u003cp\u003edevelops a plan of action and milestones for the information system to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-5_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-5(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edocument the organization’s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls;\u003c/p\u003e" + ] + }, + { + "id": "ca-5_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-5(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ereduce or eliminate known vulnerabilities in the system;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-5_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-5(b)" + } + ], + "parts": [ + { + "id": "ca-5_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-5(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to update the existing plan of action and milestones;\u003c/p\u003e" + ] + }, + { + "id": "ca-5_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-5(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eupdates the existing plan of action and milestones with the organization-defined frequency based on the findings from:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-5_obj_b.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-5(b)[2][a]" + } + ], + "prose": [ + "\u003cp\u003esecurity controls assessments;\u003c/p\u003e" + ] + }, + { + "id": "ca-5_obj_b.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-5(b)[2][b]" + } + ], + "prose": [ + "\u003cp\u003esecurity impact analyses; and\u003c/p\u003e" + ] + }, + { + "id": "ca-5_obj_b.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-5(b)[2][c]" + } + ], + "prose": [ + "\u003cp\u003econtinuous monitoring activities.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing plan of action and milestones\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with plan of action and milestones development and implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms for developing, implementing, and maintaining plan of action and milestones\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ca-5.1", + "class": "SP800-53-enhancement", + "title": "Automation Support for Accuracy / Currency", + "props": [ + { + "class": "name", + "value": "CA-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-5.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-5(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eaccurate;\u003c/p\u003e" + ] + }, + { + "id": "ca-5.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-5(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eup to date; and\u003c/p\u003e" + ] + }, + { + "id": "ca-5.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-5(1)[3]" + } + ], + "prose": [ + "\u003cp\u003ereadily available.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing plan of action and milestones\u003c/p\u003e", + "\u003cp\u003einformation system design documentation, information system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with plan of action and milestones development and implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms for developing, implementing and maintaining plan of action and milestones\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ca-6", + "class": "SP800-53", + "title": "Security Authorization", + "params": [ + { + "id": "ca-6_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-6_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-6a." + } + ], + "prose": [ + "\u003cp\u003eAssigns a senior-level executive or manager as the authorizing official for the information system;\u003c/p\u003e" + ] + }, + { + "id": "ca-6_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-6b." + } + ], + "prose": [ + "\u003cp\u003eEnsures that the authorizing official authorizes the information system for processing before commencing operations; and\u003c/p\u003e" + ] + }, + { + "id": "ca-6_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-6c." + } + ], + "prose": [ + "\u003cp\u003eUpdates the security authorization \u003cinsert param-id=\"ca-6_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity authorizations are official management decisions, conveyed through authorization decision documents, by senior organizational officials or executives (i.e., authorizing officials) to authorize operation of information systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security controls. Authorizing officials provide budgetary oversight for organizational information systems or assume responsibility for the mission/business operations supported by those systems. The security authorization process is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials assume responsibility and are accountable for security risks associated with the operation and use of organizational information systems. Accordingly, authorizing officials are in positions with levels of authority commensurate with understanding and accepting such information security-related risks. OMB policy requires that organizations conduct ongoing authorizations of information systems by implementing continuous monitoring programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so separate reauthorization processes are not necessary. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages (i.e., security plans, security assessment reports, and plans of action and milestones) is updated on an ongoing basis, providing authorizing officials and information system owners with an up-to-date status of the security state of organizational information systems and environments of operation. To reduce the administrative cost of security reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-2" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#pm-9" + }, + { + "rel": "related", + "href": "#pm-10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-6_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-6(a)" + } + ], + "prose": [ + "\u003cp\u003eassigns a senior-level executive or manager as the authorizing official for the information system;\u003c/p\u003e" + ] + }, + { + "id": "ca-6_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-6(b)" + } + ], + "prose": [ + "\u003cp\u003eensures that the authorizing official authorizes the information system for processing before commencing operations;\u003c/p\u003e" + ] + }, + { + "id": "ca-6_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-6(c)" + } + ], + "parts": [ + { + "id": "ca-6_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-6(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to update the security authorization; and\u003c/p\u003e" + ] + }, + { + "id": "ca-6_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-6(c)[2]" + } + ], + "prose": [ + "\u003cp\u003eupdates the security authorization with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security authorization\u003c/p\u003e", + "\u003cp\u003esecurity authorization package (including security plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp\u003eauthorization statement)\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security authorization responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms that facilitate security authorizations and updates\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ca-7", + "class": "SP800-53", + "title": "Continuous Monitoring", + "params": [ + { + "id": "ca-7_prm_1", + "label": "organization-defined metrics" + }, + { + "id": "ca-7_prm_2", + "label": "organization-defined frequencies" + }, + { + "id": "ca-7_prm_3", + "label": "organization-defined frequencies" + }, + { + "id": "ca-7_prm_4", + "label": "organization-defined personnel or roles" + }, + { + "id": "ca-7_prm_5", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CA-7" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-7_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-7a." + } + ], + "prose": [ + "\u003cp\u003eEstablishment of \u003cinsert param-id=\"ca-7_prm_1\"/\u003e to be monitored;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-7b." + } + ], + "prose": [ + "\u003cp\u003eEstablishment of \u003cinsert param-id=\"ca-7_prm_2\"/\u003e for monitoring and \u003cinsert param-id=\"ca-7_prm_3\"/\u003e for assessments supporting such monitoring;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-7c." + } + ], + "prose": [ + "\u003cp\u003eOngoing security control assessments in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-7d." + } + ], + "prose": [ + "\u003cp\u003eOngoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-7e." + } + ], + "prose": [ + "\u003cp\u003eCorrelation and analysis of security-related information generated by assessments and monitoring;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_smt_f", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-7f." + } + ], + "prose": [ + "\u003cp\u003eResponse actions to address results of the analysis of security-related information; and\u003c/p\u003e" + ] + }, + { + "id": "ca-7_smt_g", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-7g." + } + ], + "prose": [ + "\u003cp\u003eReporting the security status of organization and the information system to \u003cinsert param-id=\"ca-7_prm_4\"/\u003e \u003cinsert param-id=\"ca-7_prm_5\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContinuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess/analyze security controls and information security-related risks at a frequency sufficient to support organizational risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Continuous monitoring programs also allow organizations to maintain the security authorizations of information systems and common controls over time in highly dynamic environments of operation with changing mission/business needs, threats, vulnerabilities, and technologies. Having access to security-related information on a continuing basis through reports/dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing security authorization decisions. Automation supports more frequent updates to security authorization packages, hardware/software/firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-2" + }, + { + "rel": "related", + "href": "#ca-5" + }, + { + "rel": "related", + "href": "#ca-6" + }, + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-4" + }, + { + "rel": "related", + "href": "#pm-6" + }, + { + "rel": "related", + "href": "#pm-9" + }, + { + "rel": "related", + "href": "#ra-5" + }, + { + "rel": "related", + "href": "#sa-11" + }, + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#si-2" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-7_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(a)" + } + ], + "parts": [ + { + "id": "ca-7_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops a continuous monitoring strategy that defines metrics to be monitored;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edevelops a continuous monitoring strategy that includes monitoring of organization-defined metrics;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eimplements a continuous monitoring program that includes monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-7_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(b)" + } + ], + "parts": [ + { + "id": "ca-7_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops a continuous monitoring strategy that defines frequencies for monitoring;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines frequencies for assessments supporting monitoring;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(b)[3]" + } + ], + "prose": [ + "\u003cp\u003edevelops a continuous monitoring strategy that includes establishment of the organization-defined frequencies for monitoring and for assessments supporting monitoring;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_obj_b.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(b)[4]" + } + ], + "prose": [ + "\u003cp\u003eimplements a continuous monitoring program that includes establishment of organization-defined frequencies for monitoring and for assessments supporting such monitoring in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-7_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(c)" + } + ], + "parts": [ + { + "id": "ca-7_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops a continuous monitoring strategy that includes ongoing security control assessments;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(c)[2]" + } + ], + "prose": [ + "\u003cp\u003eimplements a continuous monitoring program that includes ongoing security control assessments in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-7_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(d)" + } + ], + "parts": [ + { + "id": "ca-7_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops a continuous monitoring strategy that includes ongoing security status monitoring of organization-defined metrics;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(d)[2]" + } + ], + "prose": [ + "\u003cp\u003eimplements a continuous monitoring program that includes ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-7_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(e)" + } + ], + "parts": [ + { + "id": "ca-7_obj_e.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(e)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops a continuous monitoring strategy that includes correlation and analysis of security-related information generated by assessments and monitoring;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_obj_e.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(e)[2]" + } + ], + "prose": [ + "\u003cp\u003eimplements a continuous monitoring program that includes correlation and analysis of security-related information generated by assessments and monitoring in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-7_obj_f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(f)" + } + ], + "parts": [ + { + "id": "ca-7_obj_f.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(f)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops a continuous monitoring strategy that includes response actions to address results of the analysis of security-related information;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_obj_f.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(f)[2]" + } + ], + "prose": [ + "\u003cp\u003eimplements a continuous monitoring program that includes response actions to address results of the analysis of security-related information in accordance with the organizational continuous monitoring strategy;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-7_obj_g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(g)" + } + ], + "parts": [ + { + "id": "ca-7_obj_g.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(g)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops a continuous monitoring strategy that defines the personnel or roles to whom the security status of the organization and information system are to be reported;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_obj_g.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(g)[2]" + } + ], + "prose": [ + "\u003cp\u003edevelops a continuous monitoring strategy that defines the frequency to report the security status of the organization and information system to organization-defined personnel or roles;\u003c/p\u003e" + ] + }, + { + "id": "ca-7_obj_g.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(g)[3]" + } + ], + "prose": [ + "\u003cp\u003edevelops a continuous monitoring strategy that includes reporting the security status of the organization or information system to organizational-defined personnel or roles with the organization-defined frequency; and\u003c/p\u003e" + ] + }, + { + "id": "ca-7_obj_g.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(g)[4]" + } + ], + "prose": [ + "\u003cp\u003eimplements a continuous monitoring program that includes reporting the security status of the organization and information system to organization-defined personnel or roles with the organization-defined frequency in accordance with the organizational continuous monitoring strategy.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing continuous monitoring of information system security controls\u003c/p\u003e", + "\u003cp\u003eprocedures addressing configuration management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp\u003econfiguration management records, security impact analyses\u003c/p\u003e", + "\u003cp\u003estatus reports\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with continuous monitoring responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eMechanisms implementing continuous monitoring\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ca-7.1", + "class": "SP800-53-enhancement", + "title": "Independent Assessment", + "params": [ + { + "id": "ca-7.1_prm_1", + "label": "organization-defined level of independence" + } + ], + "props": [ + { + "class": "name", + "value": "CA-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs assessors or assessment teams with \u003cinsert param-id=\"ca-7.1_prm_1\"/\u003e to monitor the security controls in the information system on an ongoing basis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can maximize the value of assessments of security controls during the continuous monitoring process by requiring that such assessments be conducted by assessors or assessment teams with appropriate levels of independence based on continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in advocacy positions for the organizations acquiring their services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-7.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a level of independence to be employed to monitor the security controls in the information system on an ongoing basis; and\u003c/p\u003e" + ] + }, + { + "id": "ca-7.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys assessors or assessment teams with the organization-defined level of independence to monitor the security controls in the information system on an ongoing basis.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing continuous monitoring of information system security controls\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp\u003esecurity impact analyses\u003c/p\u003e", + "\u003cp\u003estatus reports\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with continuous monitoring responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ca-7.2", + "class": "SP800-53-enhancement", + "title": "Types of Assessments", + "links": [ + { + "rel": "related", + "href": "#ca-2" + } + ], + "props": [ + { + "class": "name", + "value": "CA-7 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CA-2\u003c/i\u003e \u003ci\u003eIncorporated into CA-2\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-7.3", + "class": "SP800-53-enhancement", + "title": "Trend Analyses", + "props": [ + { + "class": "name", + "value": "CA-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/or the types of activities used in the continuous monitoring process need to be modified based on empirical data.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTrend analyses can include, for example, examining recent threat information regarding the types of threat events that have occurred within the organization or across the federal government, success rates of certain types of cyber attacks, emerging vulnerabilities in information technologies, evolving social engineering techniques, results from multiple security control assessments, the effectiveness of configuration settings, and findings from Inspectors General or auditors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs trend analyses to determine if the following items need to be modified based on empirical data:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-7.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(3)[1]" + } + ], + "prose": [ + "\u003cp\u003esecurity control implementations;\u003c/p\u003e" + ] + }, + { + "id": "ca-7.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe frequency of continuous monitoring activities; and/or\u003c/p\u003e" + ] + }, + { + "id": "ca-7.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-7(3)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe types of activities used in the continuous monitoring process.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContinuous monitoring strategy\u003c/p\u003e", + "\u003cp\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing continuous monitoring of information system security controls\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003eplan of action and milestones\u003c/p\u003e", + "\u003cp\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp\u003esecurity impact analyses\u003c/p\u003e", + "\u003cp\u003estatus reports\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with continuous monitoring responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ca-8", + "class": "SP800-53", + "title": "Penetration Testing", + "params": [ + { + "id": "ca-8_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "ca-8_prm_2", + "label": "organization-defined information systems or system components" + } + ], + "props": [ + { + "class": "name", + "value": "CA-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization conducts penetration testing \u003cinsert param-id=\"ca-8_prm_1\"/\u003e on \u003cinsert param-id=\"ca-8_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePenetration testing is a specialized type of assessment conducted on information systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Such testing can be used to either validate vulnerabilities or determine the degree of resistance organizational information systems have to adversaries within a set of specified constraints (e.g., time, resources, and/or skills). Penetration testing attempts to duplicate the actions of adversaries in carrying out hostile cyber attacks against organizations and provides a more in-depth analysis of security-related weaknesses/deficiencies. Organizations can also use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of an information system and can exercise both physical and technical security controls. A standard method for penetration testing includes, for example: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before the commencement of penetration testing scenarios. Organizations correlate the penetration testing rules of engagement with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Organizational risk assessments guide decisions on the level of independence required for personnel conducting penetration testing.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-8_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-8[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information systems or system components on which penetration testing is to be conducted;\u003c/p\u003e" + ] + }, + { + "id": "ca-8_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-8[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to conduct penetration testing on organization-defined information systems or system components; and\u003c/p\u003e" + ] + }, + { + "id": "ca-8_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-8[3]" + } + ], + "prose": [ + "\u003cp\u003econducts penetration testing on organization-defined information systems or system components with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing penetration testing\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp\u003epenetration test report\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities, system/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting penetration testing\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ca-8.1", + "class": "SP800-53-enhancement", + "title": "Independent Penetration Agent or Team", + "props": [ + { + "class": "name", + "value": "CA-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndependent penetration agents or teams are individuals or groups who conduct impartial penetration testing of organizational information systems. Impartiality implies that penetration agents or teams are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the information systems that are the targets of the penetration testing. Supplemental guidance for CA-2 (1) provides additional information regarding independent assessments that can be applied to penetration testing.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing penetration testing\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp\u003epenetration test report\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ca-8.2", + "class": "SP800-53-enhancement", + "title": "Red Team Exercises", + "params": [ + { + "id": "ca-8.2_prm_1", + "label": "organization-defined red team exercises" + }, + { + "id": "ca-8.2_prm_2", + "label": "organization-defined rules of engagement" + } + ], + "props": [ + { + "class": "name", + "value": "CA-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"ca-8.2_prm_1\"/\u003e to simulate attempts by adversaries to compromise organizational information systems in accordance with \u003cinsert param-id=\"ca-8.2_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRed team exercises extend the objectives of penetration testing by examining the security posture of organizations and their ability to implement effective cyber defenses. As such, red team exercises reflect simulated adversarial attempts to compromise organizational mission/business functions and provide a comprehensive assessment of the security state of information systems and organizations. Simulated adversarial attempts to compromise organizational missions/business functions and the information systems that support those missions/functions may include technology-focused attacks (e.g., interactions with hardware, software, or firmware components and/or mission/business processes) and social engineering-based attacks (e.g., interactions via email, telephone, shoulder surfing, or personal conversations). While penetration testing may be largely laboratory-based testing, organizations use red team exercises to provide more comprehensive assessments that reflect real-world conditions. Red team exercises can be used to improve security awareness and training and to assess levels of security control effectiveness.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-8.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-8(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines red team exercises to be employed to simulate attempts by adversaries to compromise organizational information systems;\u003c/p\u003e" + ] + }, + { + "id": "ca-8.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-8(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines rules of engagement for employing organization-defined red team exercises; and\u003c/p\u003e" + ] + }, + { + "id": "ca-8.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-8(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined red team exercises to simulate attempts by adversaries to compromise organizational information systems in accordance with organization-defined rules of engagement.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity assessment and authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing penetration testing\u003c/p\u003e", + "\u003cp\u003eprocedures addressing red team exercises\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment plan\u003c/p\u003e", + "\u003cp\u003eresults of red team exercise\u003c/p\u003e", + "\u003cp\u003epenetration test report\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003erules of engagement\u003c/p\u003e", + "\u003cp\u003esecurity assessment evidence\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security assessment responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting employment of red team exercises\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ca-9", + "class": "SP800-53", + "title": "Internal System Connections", + "params": [ + { + "id": "ca-9_prm_1", + "label": "organization-defined information system components or classes of components" + } + ], + "props": [ + { + "class": "name", + "value": "CA-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-9_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-9a." + } + ], + "prose": [ + "\u003cp\u003eAuthorizes internal connections of \u003cinsert param-id=\"ca-9_prm_1\"/\u003e to the information system; and\u003c/p\u003e" + ] + }, + { + "id": "ca-9_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CA-9b." + } + ], + "prose": [ + "\u003cp\u003eDocuments, for each internal connection, the interface characteristics, security requirements, and the nature of the information communicated.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to connections between organizational information systems and (separate) constituent system components (i.e., intra-system connections) including, for example, system connections with mobile devices, notebook/desktop computers, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal connection, organizations can authorize internal connections for a class of components with common characteristics and/or configurations, for example, all digital printers, scanners, and copiers with a specified processing, storage, and transmission capability or all smart phones with a specific baseline configuration.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-12" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#ia-3" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-9_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-9(a)" + } + ], + "parts": [ + { + "id": "ca-9_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-9(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components or classes of components to be authorized as internal connections to the information system;\u003c/p\u003e" + ] + }, + { + "id": "ca-9_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-9(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eauthorizes internal connections of organization-defined information system components or classes of components to the information system;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ca-9_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-9(b)" + } + ], + "prose": [ + "\u003cp\u003edocuments, for each internal connection:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ca-9_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-9(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe interface characteristics;\u003c/p\u003e" + ] + }, + { + "id": "ca-9_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-9(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe security requirements; and\u003c/p\u003e" + ] + }, + { + "id": "ca-9_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CA-9(b)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe nature of the information communicated.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of components or classes of components authorized as internal system connections\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for developing, implementing, or authorizing internal system connections\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ca-9.1", + "class": "SP800-53-enhancement", + "title": "Security Compliance Checks", + "props": [ + { + "class": "name", + "value": "CA-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system performs security compliance checks on constituent system components prior to the establishment of the internal connection.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity compliance checks may include, for example, verification of the relevant baseline configuration.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system performs security compliance checks on constituent system components prior to the establishment of the internal connection. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAccess control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system connections\u003c/p\u003e", + "\u003cp\u003esystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of components or classes of components authorized as internal system connections\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for developing, implementing, or authorizing internal system connections\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting compliance checks\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "Configuration Management", + "controls": [ + { + "id": "cm-1", + "class": "SP800-53", + "title": "Configuration Management Policy and Procedures", + "params": [ + { + "id": "cm-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "cm-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "cm-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"cm-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-1a.1." + } + ], + "prose": [ + "\u003cp\u003eA configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "cm-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the configuration management policy and associated configuration management controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-1b.1." + } + ], + "prose": [ + "\u003cp\u003eConfiguration management policy \u003cinsert param-id=\"cm-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "cm-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-1b.2." + } + ], + "prose": [ + "\u003cp\u003eConfiguration management procedures \u003cinsert param-id=\"cm-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)" + } + ], + "parts": [ + { + "id": "cm-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents a configuration management policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "cm-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "cm-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "cm-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "cm-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "cm-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "cm-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the configuration management policy is to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "cm-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the configuration management policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(2)" + } + ], + "parts": [ + { + "id": "cm-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the configuration management policy and associated configuration management controls;\u003c/p\u003e" + ] + }, + { + "id": "cm-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "cm-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(b)(1)" + } + ], + "parts": [ + { + "id": "cm-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current configuration management policy;\u003c/p\u003e" + ] + }, + { + "id": "cm-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current configuration management policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(b)(2)" + } + ], + "parts": [ + { + "id": "cm-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current configuration management procedures; and\u003c/p\u003e" + ] + }, + { + "id": "cm-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current configuration management procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cm-2", + "class": "SP800-53", + "title": "Baseline Configuration", + "props": [ + { + "class": "name", + "value": "CM-2" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control establishes baseline configurations for information systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#cm-8" + }, + { + "rel": "related", + "href": "#cm-9" + }, + { + "rel": "related", + "href": "#sa-10" + }, + { + "rel": "related", + "href": "#pm-5" + }, + { + "rel": "related", + "href": "#pm-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-2_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents a current baseline configuration of the information system; and\u003c/p\u003e" + ] + }, + { + "id": "cm-2_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2[2]" + } + ], + "prose": [ + "\u003cp\u003emaintains, under configuration control, a current baseline configuration of the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting configuration control of the baseline configuration\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cm-2.1", + "class": "SP800-53-enhancement", + "title": "Reviews and Updates", + "params": [ + { + "id": "cm-2.1_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "cm-2.1_prm_2", + "label": "Assignment organization-defined circumstances" + } + ], + "props": [ + { + "class": "name", + "value": "CM-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization reviews and updates the baseline configuration of the information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-2.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-2 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003e \u003cinsert param-id=\"cm-2.1_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "cm-2.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-2 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eWhen required due to \u003cinsert param-id=\"cm-2.1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "cm-2.1_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-2 (1)(c)" + } + ], + "prose": [ + "\u003cp\u003eAs an integral part of information system component installations and upgrades.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#cm-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-2.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(1)(a)" + } + ], + "parts": [ + { + "id": "cm-2.1_obj_1.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(1)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the baseline configuration of the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-2.1_obj_1.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(1)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the baseline configuration of the information system with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-2.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(1)(b)" + } + ], + "parts": [ + { + "id": "cm-2.1_obj_1.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(1)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines circumstances that require the baseline configuration of the information system to be reviewed and updated;\u003c/p\u003e" + ] + }, + { + "id": "cm-2.1_obj_1.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(1)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the baseline configuration of the information system when required due to organization-defined circumstances; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-2.1_obj_1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(1)(c)" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the baseline configuration of the information system as an integral part of information system component installations and upgrades.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system component installations and upgrades\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of information system baseline configuration reviews and updates\u003c/p\u003e", + "\u003cp\u003einformation system component installations/upgrades and associated records\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting review and update of the baseline configuration\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-2.2", + "class": "SP800-53-enhancement", + "title": "Automation Support for Accuracy / Currency", + "props": [ + { + "class": "name", + "value": "CM-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms that help organizations maintain consistent baseline configurations for information systems include, for example, hardware and software inventory tools, configuration management tools, and network management tools. Such tools can be deployed and/or allocated as common controls, at the information system level, or at the operating system or component level (e.g., on workstations, servers, notebook computers, network components, or mobile devices). Tools can be used, for example, to track version numbers on operating system applications, types of software installed, and current patch levels. This control enhancement can be satisfied by the implementation of CM-8 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-7" + }, + { + "rel": "related", + "href": "#ra-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to maintain: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-2.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ean up-to-date baseline configuration of the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-2.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ea complete baseline configuration of the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-2.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(2)[3]" + } + ], + "prose": [ + "\u003cp\u003ean accurate baseline configuration of the information system; and\u003c/p\u003e" + ] + }, + { + "id": "cm-2.2_obj_2.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(2)[4]" + } + ], + "prose": [ + "\u003cp\u003ea readily available baseline configuration of the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003econfiguration change control records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing baseline configuration maintenance\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-2.3", + "class": "SP800-53-enhancement", + "title": "Retention of Previous Configurations", + "params": [ + { + "id": "cm-2.3_prm_1", + "label": "organization-defined previous versions of baseline configurations of the information system" + } + ], + "props": [ + { + "class": "name", + "value": "CM-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization retains \u003cinsert param-id=\"cm-2.3_prm_1\"/\u003e to support rollback.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRetaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-2.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines previous versions of baseline configurations of the information system to be retained to support rollback; and\u003c/p\u003e" + ] + }, + { + "id": "cm-2.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(3)[2]" + } + ], + "prose": [ + "\u003cp\u003eretains organization-defined previous versions of baseline configurations of the information system to support rollback.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ecopies of previous baseline configuration versions\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-2.4", + "class": "SP800-53-enhancement", + "title": "Unauthorized Software", + "links": [ + { + "rel": "related", + "href": "#cm-7" + } + ], + "props": [ + { + "class": "name", + "value": "CM-2 (4)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CM-7\u003c/i\u003e \u003ci\u003eIncorporated into CM-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-2.5", + "class": "SP800-53-enhancement", + "title": "Authorized Software", + "links": [ + { + "rel": "related", + "href": "#cm-7" + } + ], + "props": [ + { + "class": "name", + "value": "CM-2 (5)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CM-7\u003c/i\u003e \u003ci\u003eIncorporated into CM-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-2.6", + "class": "SP800-53-enhancement", + "title": "Development and Test Environments", + "props": [ + { + "class": "name", + "value": "CM-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEstablishing separate baseline configurations for development, testing, and operational environments helps protect information systems from unplanned/unexpected events related to development and testing activities. Separate baseline configurations allow organizations to apply the configuration management that is most appropriate for each type of configuration. For example, management of operational configurations typically emphasizes the need for stability, while management of development/test configurations requires greater flexibility. Configurations in the test environment mirror the configurations in the operational environment to the extent practicable so that the results of the testing are representative of the proposed changes to the operational systems. This control enhancement requires separate configurations but not necessarily separate physical environments.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-4" + }, + { + "rel": "related", + "href": "#sc-3" + }, + { + "rel": "related", + "href": "#sc-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing separate baseline configurations for development, test, and operational environments\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-2.7", + "class": "SP800-53-enhancement", + "title": "Configure Systems, Components, or Devices for High-risk Areas", + "params": [ + { + "id": "cm-2.7_prm_1", + "label": "organization-defined information systems, system components, or devices" + }, + { + "id": "cm-2.7_prm_2", + "label": "organization-defined configurations" + }, + { + "id": "cm-2.7_prm_3", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "CM-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-2.7_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-2 (7)(a)" + } + ], + "prose": [ + "\u003cp\u003eIssues \u003cinsert param-id=\"cm-2.7_prm_1\"/\u003e with \u003cinsert param-id=\"cm-2.7_prm_2\"/\u003e to individuals traveling to locations that the organization deems to be of significant risk; and\u003c/p\u003e" + ] + }, + { + "id": "cm-2.7_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-2 (7)(b)" + } + ], + "prose": [ + "\u003cp\u003eApplies \u003cinsert param-id=\"cm-2.7_prm_3\"/\u003e to the devices when the individuals return.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen it is known that information systems, system components, or devices (e.g., notebook computers, mobile devices) will be located in high-risk areas, additional security controls may be implemented to counter the greater threat in such areas coupled with the lack of physical security relative to organizational-controlled areas. For example, organizational policies and procedures for notebook computers used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific safeguards to the device after travel is completed. Specially configured notebook computers include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified safeguards applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-2.7_obj_7.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(7)(a)" + } + ], + "parts": [ + { + "id": "cm-2.7_obj_7.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(7)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information systems, system components, or devices to be issued to individuals traveling to locations that the organization deems to be of significant risk;\u003c/p\u003e" + ] + }, + { + "id": "cm-2.7_obj_7.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(7)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines configurations to be employed on organization-defined information systems, system components, or devices issued to individuals traveling to such locations;\u003c/p\u003e" + ] + }, + { + "id": "cm-2.7_obj_7.a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(7)(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eissues organization-defined information systems, system components, or devices with organization-defined configurations to individuals traveling to locations that the organization deems to be of significant risk;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-2.7_obj_7.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(7)(b)" + } + ], + "parts": [ + { + "id": "cm-2.7_obj_7.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(7)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be applied to the devices when the individuals return; and\u003c/p\u003e" + ] + }, + { + "id": "cm-2.7_obj_7.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-2(7)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eapplies organization-defined safeguards to the devices when the individuals return.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system component installations and upgrades\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of information system baseline configuration reviews and updates\u003c/p\u003e", + "\u003cp\u003einformation system component installations/upgrades and associated records\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing baseline configurations\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cm-3", + "class": "SP800-53", + "title": "Configuration Change Control", + "params": [ + { + "id": "cm-3_prm_1", + "label": "organization-defined time period" + }, + { + "id": "cm-3_prm_2", + "label": "organization-defined configuration change control element (e.g., committee, board)" + }, + { + "id": "cm-3_prm_3", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "\n \n " + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "cm-3_prm_4", + "dependsOn": "cm-3_prm_3", + "label": "organization-defined frequency" + }, + { + "id": "cm-3_prm_5", + "dependsOn": "cm-3_prm_3", + "label": "organization-defined configuration change conditions" + } + ], + "props": [ + { + "class": "name", + "value": "CM-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-3a." + } + ], + "prose": [ + "\u003cp\u003eDetermines the types of changes to the information system that are configuration-controlled;\u003c/p\u003e" + ] + }, + { + "id": "cm-3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-3b." + } + ], + "prose": [ + "\u003cp\u003eReviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;\u003c/p\u003e" + ] + }, + { + "id": "cm-3_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-3c." + } + ], + "prose": [ + "\u003cp\u003eDocuments configuration change decisions associated with the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-3_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-3d." + } + ], + "prose": [ + "\u003cp\u003eImplements approved configuration-controlled changes to the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-3_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-3e." + } + ], + "prose": [ + "\u003cp\u003eRetains records of configuration-controlled changes to the information system for \u003cinsert param-id=\"cm-3_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "cm-3_smt_f", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-3f." + } + ], + "prose": [ + "\u003cp\u003eAudits and reviews activities associated with configuration-controlled changes to the information system; and\u003c/p\u003e" + ] + }, + { + "id": "cm-3_smt_g", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-3g." + } + ], + "prose": [ + "\u003cp\u003eCoordinates and provides oversight for configuration change control activities through \u003cinsert param-id=\"cm-3_prm_2\"/\u003e that convenes \u003cinsert param-id=\"cm-3_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConfiguration change controls for organizational information systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of information systems, changes to configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical processes for managing configuration changes to information systems include, for example, Configuration Control Boards that approve proposed changes to systems. For new development information systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards. Auditing of changes includes activities before and after changes are made to organizational information systems and the auditing activities required to implement such changes.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#cm-4" + }, + { + "rel": "related", + "href": "#cm-5" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#cm-9" + }, + { + "rel": "related", + "href": "#sa-10" + }, + { + "rel": "related", + "href": "#si-2" + }, + { + "rel": "related", + "href": "#si-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-3_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(a)" + } + ], + "prose": [ + "\u003cp\u003edetermines the type of changes to the information system that must be configuration-controlled;\u003c/p\u003e" + ] + }, + { + "id": "cm-3_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(b)" + } + ], + "prose": [ + "\u003cp\u003ereviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;\u003c/p\u003e" + ] + }, + { + "id": "cm-3_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(c)" + } + ], + "prose": [ + "\u003cp\u003edocuments configuration change decisions associated with the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-3_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(d)" + } + ], + "prose": [ + "\u003cp\u003eimplements approved configuration-controlled changes to the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-3_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(e)" + } + ], + "parts": [ + { + "id": "cm-3_obj_e.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(e)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a time period to retain records of configuration-controlled changes to the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-3_obj_e.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(e)[2]" + } + ], + "prose": [ + "\u003cp\u003eretains records of configuration-controlled changes to the information system for the organization-defined time period;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-3_obj_f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(f)" + } + ], + "prose": [ + "\u003cp\u003eaudits and reviews activities associated with configuration-controlled changes to the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-3_obj_g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(g)" + } + ], + "parts": [ + { + "id": "cm-3_obj_g.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(g)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a configuration change control element (e.g., committee, board) responsible for coordinating and providing oversight for configuration change control activities;\u003c/p\u003e" + ] + }, + { + "id": "cm-3_obj_g.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(g)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency with which the configuration change control element must convene; and/or\u003c/p\u003e" + ] + }, + { + "id": "cm-3_obj_g.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(g)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines configuration change conditions that prompt the configuration change control element to convene; and\u003c/p\u003e" + ] + }, + { + "id": "cm-3_obj_g.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(g)[4]" + } + ], + "prose": [ + "\u003cp\u003ecoordinates and provides oversight for configuration change control activities through organization-defined configuration change control element that convenes at organization-defined frequency and/or for any organization-defined configuration change conditions.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003echange control audit and review reports\u003c/p\u003e", + "\u003cp\u003eagenda /minutes from configuration change control oversight meetings\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003emembers of change control board or similar\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms that implement configuration change control\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cm-3.1", + "class": "SP800-53-enhancement", + "title": "Automated Document / Notification / Prohibition of Changes", + "params": [ + { + "id": "cm-3.1_prm_1", + "label": "organized-defined approval authorities" + }, + { + "id": "cm-3.1_prm_2", + "label": "organization-defined time period" + }, + { + "id": "cm-3.1_prm_3", + "label": "organization-defined personnel" + } + ], + "props": [ + { + "class": "name", + "value": "CM-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-3.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-3 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eDocument proposed changes to the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-3.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-3 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eNotify \u003cinsert param-id=\"cm-3.1_prm_1\"/\u003e of proposed changes to the information system and request change approval;\u003c/p\u003e" + ] + }, + { + "id": "cm-3.1_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-3 (1)(c)" + } + ], + "prose": [ + "\u003cp\u003eHighlight proposed changes to the information system that have not been approved or disapproved by \u003cinsert param-id=\"cm-3.1_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "cm-3.1_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-3 (1)(d)" + } + ], + "prose": [ + "\u003cp\u003eProhibit changes to the information system until designated approvals are received;\u003c/p\u003e" + ] + }, + { + "id": "cm-3.1_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-3 (1)(e)" + } + ], + "prose": [ + "\u003cp\u003eDocument all changes to the information system; and\u003c/p\u003e" + ] + }, + { + "id": "cm-3.1_smt_f", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-3 (1)(f)" + } + ], + "prose": [ + "\u003cp\u003eNotify \u003cinsert param-id=\"cm-3.1_prm_3\"/\u003e when approved changes to the information system are completed.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-3.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(1)(a)" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms to document proposed changes to the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-3.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(1)(b)" + } + ], + "parts": [ + { + "id": "cm-3.1_obj_1.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(1)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines approval authorities to be notified of proposed changes to the information system and request change approval;\u003c/p\u003e" + ] + }, + { + "id": "cm-3.1_obj_1.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(1)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms to notify organization-defined approval authorities of proposed changes to the information system and request change approval;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-3.1_obj_1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(1)(c)" + } + ], + "parts": [ + { + "id": "cm-3.1_obj_1.c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(1)(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period within which proposed changes to the information system that have not been approved or disapproved must be highlighted;\u003c/p\u003e" + ] + }, + { + "id": "cm-3.1_obj_1.c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(1)(c)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms to highlight proposed changes to the information system that have not been approved or disapproved by organization-defined time period;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-3.1_obj_1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(1)(d)" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms to prohibit changes to the information system until designated approvals are received;\u003c/p\u003e" + ] + }, + { + "id": "cm-3.1_obj_1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(1)(e)" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms to document all changes to the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-3.1_obj_1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(1)(f)" + } + ], + "parts": [ + { + "id": "cm-3.1_obj_1.f.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(1)(f)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel to be notified when approved changes to the information system are completed; and\u003c/p\u003e" + ] + }, + { + "id": "cm-3.1_obj_1.f.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(1)(f)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms to notify organization-defined personnel when approved changes to the information system are completed.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003eautomated configuration control mechanisms\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003echange approval requests\u003c/p\u003e", + "\u003cp\u003echange approvals\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing configuration change control activities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-3.2", + "class": "SP800-53-enhancement", + "title": "Test / Validate / Document Changes", + "props": [ + { + "class": "name", + "value": "CM-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization tests, validates, and documents changes to the information system before implementing the changes on the operational system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eChanges to information systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with information system operations. Individuals/groups conducting tests understand organizational security policies and procedures, information system security policies and procedures, and the specific health, safety, and environmental risks associated with particular facilities/processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If information systems must be taken off-line for testing, the tests are scheduled to occur during planned system outages whenever possible. If testing cannot be conducted on operational systems, organizations employ compensating controls (e.g., testing on replicated systems).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization, before implementing changes on the operational system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-3.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(2)[1]" + } + ], + "prose": [ + "\u003cp\u003etests changes to the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-3.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(2)[2]" + } + ], + "prose": [ + "\u003cp\u003evalidates changes to the information system; and\u003c/p\u003e" + ] + }, + { + "id": "cm-3.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edocuments changes to the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003etest records\u003c/p\u003e", + "\u003cp\u003evalidation records\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing testing, validating, and documenting information system changes\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-3.3", + "class": "SP800-53-enhancement", + "title": "Automated Change Implementation", + "props": [ + { + "class": "name", + "value": "CM-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-3.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(3)[1]" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms to implement changes to the current information system baseline; and\u003c/p\u003e" + ] + }, + { + "id": "cm-3.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edeploys the updated baseline across the installed base.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003eautomated configuration control mechanisms\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing changes to current information system baseline\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-3.4", + "class": "SP800-53-enhancement", + "title": "Security Representative", + "params": [ + { + "id": "cm-3.4_prm_1", + "label": "organization-defined configuration change control element" + } + ], + "props": [ + { + "class": "name", + "value": "CM-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires an information security representative to be a member of the \u003cinsert param-id=\"cm-3.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation security representatives can include, for example, senior agency information security officers, information system security officers, or information system security managers. Representation by personnel with information security expertise is important because changes to information system configurations can have unintended side effects, some of which may be security-relevant. Detecting such changes early in the process can help avoid unintended, negative consequences that could ultimately affect the security state of organizational information systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-3.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(4)[1]" + } + ], + "prose": [ + "\u003cp\u003especifies the configuration change control elements (as defined in CM-3g) of which an information security representative is to be a member; and\u003c/p\u003e" + ] + }, + { + "id": "cm-3.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(4)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires an information security representative to be a member of the specified configuration control element.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for configuration change control\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-3.5", + "class": "SP800-53-enhancement", + "title": "Automated Security Response", + "params": [ + { + "id": "cm-3.5_prm_1", + "label": "organization-defined security responses" + } + ], + "props": [ + { + "class": "name", + "value": "CM-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements \u003cinsert param-id=\"cm-3.5_prm_1\"/\u003e automatically if baseline configurations are changed in an unauthorized manner.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity responses include, for example, halting information system processing, halting selected system functions, or issuing alerts/notifications to organizational personnel when there is an unauthorized modification of a configuration item.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-3.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(5)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security responses to be implemented automatically if baseline configurations are changed in an unauthorized manner; and\u003c/p\u003e" + ] + }, + { + "id": "cm-3.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(5)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements organization-defined security responses automatically if baseline configurations are changed in an unauthorized manner.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ealerts/notifications of unauthorized baseline configuration changes\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing security responses to changes to the baseline configurations\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-3.6", + "class": "SP800-53-enhancement", + "title": "Cryptography Management", + "params": [ + { + "id": "cm-3.6_prm_1", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "CM-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that cryptographic mechanisms used to provide \u003cinsert param-id=\"cm-3.6_prm_1\"/\u003e are under configuration management.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRegardless of the cryptographic means employed (e.g., public key, private key, shared secrets), organizations ensure that there are processes and procedures in place to effectively manage those means. For example, if devices use certificates as a basis for identification and authentication, there needs to be a process in place to address the expiration of those certificates.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-3.6_obj_6.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(6)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards provided by cryptographic mechanisms that are to be under configuration management; and\u003c/p\u003e" + ] + }, + { + "id": "cm-3.6_obj_6.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-3(6)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that cryptographic mechanisms used to provide organization-defined security safeguards are under configuration management.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system configuration change control\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with configuration change control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for configuration change control\u003c/p\u003e", + "\u003cp\u003ecryptographic mechanisms implementing organizational security safeguards\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cm-4", + "class": "SP800-53", + "title": "Security Impact Analysis", + "props": [ + { + "class": "name", + "value": "CM-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization analyzes changes to the information system to determine potential security impacts prior to change implementation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities (e.g., Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers) conduct security impact analyses. Individuals conducting security impact analyses possess the necessary skills/technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing security plans to understand security control requirements and reviewing system design documentation to understand control implementation and how specific changes might affect the controls. Security impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security controls are required. Security impact analyses are scaled in accordance with the security categories of the information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-2" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-9" + }, + { + "rel": "related", + "href": "#sa-4" + }, + { + "rel": "related", + "href": "#sa-5" + }, + { + "rel": "related", + "href": "#sa-10" + }, + { + "rel": "related", + "href": "#si-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization analyzes changes to the information system to determine potential security impacts prior to change implementation.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security impact analysis for changes to the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity impact analysis documentation\u003c/p\u003e", + "\u003cp\u003eanalysis tools and associated outputs\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for conducting security impact analysis\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for security impact analysis\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cm-4.1", + "class": "SP800-53-enhancement", + "title": "Separate Test Environments", + "props": [ + { + "class": "name", + "value": "CM-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization analyzes changes to the information system in a separate test environment before implementation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSeparate test environment in this context means an environment that is physically or logically isolated and distinct from the operational environment. The separation is sufficient to ensure that activities in the test environment do not impact activities in the operational environment, and information in the operational environment is not inadvertently transmitted to the test environment. Separate environments can be achieved by physical or logical means. If physically separate test environments are not used, organizations determine the strength of mechanism required when implementing logical separation (e.g., separation achieved through virtual machines).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-11" + }, + { + "rel": "related", + "href": "#sc-3" + }, + { + "rel": "related", + "href": "#sc-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-4.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-4(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eanalyzes changes to the information system in a separate test environment before implementation in an operational environment;\u003c/p\u003e" + ] + }, + { + "id": "cm-4.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-4(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ewhen analyzing changes to the information system in a separate test environment, looks for security impacts due to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-4.1_obj_1.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-4(1)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eflaws;\u003c/p\u003e" + ] + }, + { + "id": "cm-4.1_obj_1.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-4(1)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eweaknesses;\u003c/p\u003e" + ] + }, + { + "id": "cm-4.1_obj_1.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-4(1)[2][c]" + } + ], + "prose": [ + "\u003cp\u003eincompatibility; and\u003c/p\u003e" + ] + }, + { + "id": "cm-4.1_obj_1.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-4(1)[2][d]" + } + ], + "prose": [ + "\u003cp\u003eintentional malice.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security impact analysis for changes to the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity impact analysis documentation\u003c/p\u003e", + "\u003cp\u003eanalysis tools and associated outputs information system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003edocumentation evidence of separate test and operational environments\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for conducting security impact analysis\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for security impact analysis\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing security impact analysis of changes\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-4.2", + "class": "SP800-53-enhancement", + "title": "Verification of Security Functions", + "props": [ + { + "class": "name", + "value": "CM-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eImplementation is this context refers to installing changed code in the operational information system.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization, after the information system is changed, checks the security functions to verify that the functions are:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-4.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-4(2)[1]" + } + ], + "prose": [ + "\u003cp\u003eimplemented correctly;\u003c/p\u003e" + ] + }, + { + "id": "cm-4.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-4(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eoperating as intended; and\u003c/p\u003e" + ] + }, + { + "id": "cm-4.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-4(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eproducing the desired outcome with regard to meeting the security requirements for the system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security impact analysis for changes to the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity impact analysis documentation\u003c/p\u003e", + "\u003cp\u003eanalysis tools and associated outputs\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for conducting security impact analysis\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for security impact analysis\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing verification of security functions\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cm-5", + "class": "SP800-53", + "title": "Access Restrictions for Change", + "props": [ + { + "class": "name", + "value": "CM-5" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAny changes to the hardware, software, and/or firmware components of information systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access information systems for purposes of initiating changes, including upgrades and modifications. Organizations maintain records of access to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#pe-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-5_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5[1]" + } + ], + "prose": [ + "\u003cp\u003edefines physical access restrictions associated with changes to the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-5_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5[2]" + } + ], + "prose": [ + "\u003cp\u003edocuments physical access restrictions associated with changes to the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-5_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5[3]" + } + ], + "prose": [ + "\u003cp\u003eapproves physical access restrictions associated with changes to the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-5_obj_4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5[4]" + } + ], + "prose": [ + "\u003cp\u003eenforces physical access restrictions associated with changes to the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-5_obj_5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5[5]" + } + ], + "prose": [ + "\u003cp\u003edefines logical access restrictions associated with changes to the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-5_obj_6", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5[6]" + } + ], + "prose": [ + "\u003cp\u003edocuments logical access restrictions associated with changes to the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-5_obj_7", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5[7]" + } + ], + "prose": [ + "\u003cp\u003eapproves logical access restrictions associated with changes to the information system; and\u003c/p\u003e" + ] + }, + { + "id": "cm-5_obj_8", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5[8]" + } + ], + "prose": [ + "\u003cp\u003eenforces logical access restrictions associated with changes to the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elogical access approvals\u003c/p\u003e", + "\u003cp\u003ephysical access approvals\u003c/p\u003e", + "\u003cp\u003eaccess credentials\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with logical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting/implementing/enforcing access restrictions associated with changes to the information system\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cm-5.1", + "class": "SP800-53-enhancement", + "title": "Automated Access Enforcement / Auditing", + "props": [ + { + "class": "name", + "value": "CM-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces access restrictions and supports auditing of the enforcement actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-12" + }, + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-5.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eenforces access restrictions for change; and\u003c/p\u003e" + ] + }, + { + "id": "cm-5.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5(1)[2]" + } + ], + "prose": [ + "\u003cp\u003esupports auditing of the enforcement actions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing enforcement of access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting auditing of enforcement actions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-5.2", + "class": "SP800-53-enhancement", + "title": "Review System Changes", + "params": [ + { + "id": "cm-5.2_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "cm-5.2_prm_2", + "label": "organization-defined circumstances" + } + ], + "props": [ + { + "class": "name", + "value": "CM-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization reviews information system changes \u003cinsert param-id=\"cm-5.2_prm_1\"/\u003e and \u003cinsert param-id=\"cm-5.2_prm_2\"/\u003e to determine whether unauthorized changes have occurred.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndications that warrant review of information system changes and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#au-7" + }, + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-5" + }, + { + "rel": "related", + "href": "#pe-6" + }, + { + "rel": "related", + "href": "#pe-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization, in an effort to ascertain whether unauthorized changes have occurred:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-5.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review information system changes;\u003c/p\u003e" + ] + }, + { + "id": "cm-5.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines circumstances that warrant review of information system changes;\u003c/p\u003e" + ] + }, + { + "id": "cm-5.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5(2)[3]" + } + ], + "prose": [ + "\u003cp\u003ereviews information system changes with the organization-defined frequency; and\u003c/p\u003e" + ] + }, + { + "id": "cm-5.2_obj_2.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5(2)[4]" + } + ], + "prose": [ + "\u003cp\u003ereviews information system changes with the organization-defined circumstances.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003ereviews of information system changes\u003c/p\u003e", + "\u003cp\u003eaudit and review reports\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting/implementing information system reviews to determine whether unauthorized changes have occurred\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-5.3", + "class": "SP800-53-enhancement", + "title": "Signed Components", + "params": [ + { + "id": "cm-5.3_prm_1", + "label": "organization-defined software and firmware components" + } + ], + "props": [ + { + "class": "name", + "value": "CM-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system prevents the installation of \u003cinsert param-id=\"cm-5.3_prm_1\"/\u003e without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSoftware and firmware components prevented from installation unless signed with recognized and approved certificates include, for example, software and firmware version updates, patches, service packs, device drivers, and basic input output system (BIOS) updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures, is a method of code authentication.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-7" + }, + { + "rel": "related", + "href": "#sc-13" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-5.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5(3)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines software and firmware components that the information system will prevent from being installed without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization; and\u003c/p\u003e" + ] + }, + { + "id": "cm-5.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system prevents the installation of organization-defined software and firmware components without verification that such components have been digitally signed using a certificate that is recognized and approved by the organization.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003elist of software and firmware components to be prohibited from installation without a recognized and approved certificate\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms preventing installation of software and firmware components not signed with an organization-recognized and approved certificate\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-5.4", + "class": "SP800-53-enhancement", + "title": "Dual Authorization", + "params": [ + { + "id": "cm-5.4_prm_1", + "label": "organization-defined information system components and system-level information" + } + ], + "props": [ + { + "class": "name", + "value": "CM-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization enforces dual authorization for implementing changes to \u003cinsert param-id=\"cm-5.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ dual authorization to ensure that any changes to selected information system components and information cannot occur unless two qualified individuals implement such changes. The two individuals possess sufficient skills/expertise to determine if the proposed changes are correct implementations of approved changes. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-5" + }, + { + "rel": "related", + "href": "#cm-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-5.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components and system-level information requiring dual authorization to be enforced when implementing changes; and\u003c/p\u003e" + ] + }, + { + "id": "cm-5.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eenforces dual authorization for implementing changes to organization-defined information system components and system-level information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with dual authorization enforcement responsibilities for implementing information system changes\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing dual authorization enforcement\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-5.5", + "class": "SP800-53-enhancement", + "title": "Limit Production / Operational Privileges", + "params": [ + { + "id": "cm-5.5_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-5.5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-5 (5)(a)" + } + ], + "prose": [ + "\u003cp\u003eLimits privileges to change information system components and system-related information within a production or operational environment; and\u003c/p\u003e" + ] + }, + { + "id": "cm-5.5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-5 (5)(b)" + } + ], + "prose": [ + "\u003cp\u003eReviews and reevaluates privileges \u003cinsert param-id=\"cm-5.5_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn many organizations, information systems support multiple core missions/business functions. Limiting privileges to change information system components with respect to operational systems is necessary because changes to a particular information system component may have far-reaching effects on mission/business processes supported by the system where the component resides. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-5.5_obj_5.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5(5)(a)" + } + ], + "prose": [ + "\u003cp\u003elimits privileges to change information system components and system-related information within a production or operational environment;\u003c/p\u003e" + ] + }, + { + "id": "cm-5.5_obj_5.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5(5)(b)" + } + ], + "parts": [ + { + "id": "cm-5.5_obj_5.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5(5)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and reevaluate privileges; and\u003c/p\u003e" + ] + }, + { + "id": "cm-5.5_obj_5.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-5(5)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and reevaluates privileges with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003euser privilege reviews\u003c/p\u003e", + "\u003cp\u003euser privilege recertifications\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing access restrictions for change\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-5.6", + "class": "SP800-53-enhancement", + "title": "Limit Library Privileges", + "props": [ + { + "class": "name", + "value": "CM-5 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization limits privileges to change software resident within software libraries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSoftware libraries include privileged programs.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization limits privileges to change software resident within software libraries.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access restrictions for changes to the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing access restrictions to change\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing access restrictions for change\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-5.7", + "class": "SP800-53-enhancement", + "title": "Automatic Implementation of Security Safeguards", + "links": [ + { + "rel": "related", + "href": "#si-7" + } + ], + "props": [ + { + "class": "name", + "value": "CM-5 (7)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SI-7\u003c/i\u003e \u003ci\u003eIncorporated into SI-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-6", + "class": "SP800-53", + "title": "Configuration Settings", + "params": [ + { + "id": "cm-6_prm_1", + "label": "organization-defined security configuration checklists" + }, + { + "id": "cm-6_prm_2", + "label": "organization-defined information system components" + }, + { + "id": "cm-6_prm_3", + "label": "organization-defined operational requirements" + } + ], + "props": [ + { + "class": "name", + "value": "CM-6" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-6_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-6a." + } + ], + "prose": [ + "\u003cp\u003eEstablishes and documents configuration settings for information technology products employed within the information system using \u003cinsert param-id=\"cm-6_prm_1\"/\u003e that reflect the most restrictive mode consistent with operational requirements;\u003c/p\u003e" + ] + }, + { + "id": "cm-6_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-6b." + } + ], + "prose": [ + "\u003cp\u003eImplements the configuration settings;\u003c/p\u003e" + ] + }, + { + "id": "cm-6_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-6c." + } + ], + "prose": [ + "\u003cp\u003eIdentifies, documents, and approves any deviations from established configuration settings for \u003cinsert param-id=\"cm-6_prm_2\"/\u003e based on \u003cinsert param-id=\"cm-6_prm_3\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "cm-6_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-6d." + } + ], + "prose": [ + "\u003cp\u003eMonitors and controls changes to the configuration settings in accordance with organizational policies and procedures.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConfiguration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of the systems configuration baseline. Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the United States Government Configuration Baseline (USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-7" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-6_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(a)" + } + ], + "parts": [ + { + "id": "cm-6_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security configuration checklists to be used to establish and document configuration settings for the information technology products employed;\u003c/p\u003e" + ] + }, + { + "id": "cm-6_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures the defined security configuration checklists reflect the most restrictive mode consistent with operational requirements;\u003c/p\u003e" + ] + }, + { + "id": "cm-6_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eestablishes and documents configuration settings for information technology products employed within the information system using organization-defined security configuration checklists;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-6_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(b)" + } + ], + "prose": [ + "\u003cp\u003eimplements the configuration settings established/documented in CM-6(a);;\u003c/p\u003e" + ] + }, + { + "id": "cm-6_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(c)" + } + ], + "parts": [ + { + "id": "cm-6_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components for which any deviations from established configuration settings must be:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-6_obj_c.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(c)[1][a]" + } + ], + "prose": [ + "\u003cp\u003eidentified;\u003c/p\u003e" + ] + }, + { + "id": "cm-6_obj_c.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(c)[1][b]" + } + ], + "prose": [ + "\u003cp\u003edocumented;\u003c/p\u003e" + ] + }, + { + "id": "cm-6_obj_c.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(c)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eapproved;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-6_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(c)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines operational requirements to support:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-6_obj_c.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(c)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ethe identification of any deviations from established configuration settings;\u003c/p\u003e" + ] + }, + { + "id": "cm-6_obj_c.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(c)[2][b]" + } + ], + "prose": [ + "\u003cp\u003ethe documentation of any deviations from established configuration settings;\u003c/p\u003e" + ] + }, + { + "id": "cm-6_obj_c.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(c)[2][c]" + } + ], + "prose": [ + "\u003cp\u003ethe approval of any deviations from established configuration settings;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-6_obj_c.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(c)[3]" + } + ], + "prose": [ + "\u003cp\u003eidentifies any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;\u003c/p\u003e" + ] + }, + { + "id": "cm-6_obj_c.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(c)[4]" + } + ], + "prose": [ + "\u003cp\u003edocuments any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;\u003c/p\u003e" + ] + }, + { + "id": "cm-6_obj_c.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(c)[5]" + } + ], + "prose": [ + "\u003cp\u003eapproves any deviations from established configuration settings for organization-defined information system components based on organizational-defined operational requirements;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-6_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(d)" + } + ], + "parts": [ + { + "id": "cm-6_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(d)[1]" + } + ], + "prose": [ + "\u003cp\u003emonitors changes to the configuration settings in accordance with organizational policies and procedures; and\u003c/p\u003e" + ] + }, + { + "id": "cm-6_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(d)[2]" + } + ], + "prose": [ + "\u003cp\u003econtrols changes to the configuration settings in accordance with organizational policies and procedures.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing configuration settings for the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp\u003eevidence supporting approved deviations from established configuration settings\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing configuration settings\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms that implement, monitor, and/or control information system configuration settings\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms that identify and/or document deviations from established configuration settings\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cm-6.1", + "class": "SP800-53-enhancement", + "title": "Automated Central Management / Application / Verification", + "params": [ + { + "id": "cm-6.1_prm_1", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "CM-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to centrally manage, apply, and verify configuration settings for \u003cinsert param-id=\"cm-6.1_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cm-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-6.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components for which automated mechanisms are to be employed to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-6.1_obj_1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003ecentrally manage configuration settings of such components;\u003c/p\u003e" + ] + }, + { + "id": "cm-6.1_obj_1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003eapply configuration settings of such components;\u003c/p\u003e" + ] + }, + { + "id": "cm-6.1_obj_1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003everify configuration settings of such components;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-6.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-6.1_obj_1.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(1)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ecentrally manage configuration settings for organization-defined information system components;\u003c/p\u003e" + ] + }, + { + "id": "cm-6.1_obj_1.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(1)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eapply configuration settings for organization-defined information system components; and\u003c/p\u003e" + ] + }, + { + "id": "cm-6.1_obj_1.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(1)[2][c]" + } + ], + "prose": [ + "\u003cp\u003everify configuration settings for organization-defined information system components.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing configuration settings for the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing configuration settings\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implemented to centrally manage, apply, and verify information system configuration settings\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-6.2", + "class": "SP800-53-enhancement", + "title": "Respond to Unauthorized Changes", + "params": [ + { + "id": "cm-6.2_prm_1", + "label": "organization-defined security safeguards" + }, + { + "id": "cm-6.2_prm_2", + "label": "organization-defined configuration settings" + } + ], + "props": [ + { + "class": "name", + "value": "CM-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"cm-6.2_prm_1\"/\u003e to respond to unauthorized changes to \u003cinsert param-id=\"cm-6.2_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eResponses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected information system processing.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ir-4" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-6.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines configuration settings that, if modified by unauthorized changes, result in organizational security safeguards being employed to respond to such changes;\u003c/p\u003e" + ] + }, + { + "id": "cm-6.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be employed to respond to unauthorized changes to organization-defined configuration settings; and\u003c/p\u003e" + ] + }, + { + "id": "cm-6.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-6(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined security safeguards to respond to unauthorized changes to organization-defined configuration settings.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing configuration settings for the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ealerts/notifications of unauthorized changes to information system configuration settings\u003c/p\u003e", + "\u003cp\u003edocumented responses to unauthorized changes to information system configuration settings\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational process for responding to unauthorized changes to information system configuration settings\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing security safeguards for response to unauthorized changes\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-6.3", + "class": "SP800-53-enhancement", + "title": "Unauthorized Change Detection", + "links": [ + { + "rel": "related", + "href": "#si-7" + } + ], + "props": [ + { + "class": "name", + "value": "CM-6 (3)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SI-7\u003c/i\u003e \u003ci\u003eIncorporated into SI-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-6.4", + "class": "SP800-53-enhancement", + "title": "Conformance Demonstration", + "links": [ + { + "rel": "related", + "href": "#cm-4" + } + ], + "props": [ + { + "class": "name", + "value": "CM-6 (4)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CM-4\u003c/i\u003e \u003ci\u003eIncorporated into CM-4\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cm-7", + "class": "SP800-53", + "title": "Least Functionality", + "params": [ + { + "id": "cm-7_prm_1", + "label": "organization-defined prohibited or restricted functions, ports, protocols, and/or services" + } + ], + "props": [ + { + "class": "name", + "value": "CM-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-7a." + } + ], + "prose": [ + "\u003cp\u003eConfigures the information system to provide only essential capabilities; and\u003c/p\u003e" + ] + }, + { + "id": "cm-7_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-7b." + } + ], + "prose": [ + "\u003cp\u003eProhibits or restricts the use of the following functions, ports, protocols, and/or services: \u003cinsert param-id=\"cm-7_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems can provide a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from single information system components, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email servers or web servers, but not both). Organizations review functions and services provided by information systems or individual components of information systems, to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing). Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#ra-5" + }, + { + "rel": "related", + "href": "#sa-5" + }, + { + "rel": "related", + "href": "#sc-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(a)" + } + ], + "prose": [ + "\u003cp\u003econfigures the information system to provide only essential capabilities;\u003c/p\u003e" + ] + }, + { + "id": "cm-7_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(b)" + } + ], + "parts": [ + { + "id": "cm-7_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines prohibited or restricted:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7_obj_b.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(b)[1][a]" + } + ], + "prose": [ + "\u003cp\u003efunctions;\u003c/p\u003e" + ] + }, + { + "id": "cm-7_obj_b.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(b)[1][b]" + } + ], + "prose": [ + "\u003cp\u003eports;\u003c/p\u003e" + ] + }, + { + "id": "cm-7_obj_b.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(b)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eprotocols; and/or\u003c/p\u003e" + ] + }, + { + "id": "cm-7_obj_b.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(b)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eservices;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-7_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eprohibits or restricts the use of organization-defined:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7_obj_b.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(b)[2][a]" + } + ], + "prose": [ + "\u003cp\u003efunctions;\u003c/p\u003e" + ] + }, + { + "id": "cm-7_obj_b.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(b)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eports;\u003c/p\u003e" + ] + }, + { + "id": "cm-7_obj_b.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(b)[2][c]" + } + ], + "prose": [ + "\u003cp\u003eprotocols; and/or\u003c/p\u003e" + ] + }, + { + "id": "cm-7_obj_b.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(b)[2][d]" + } + ], + "prose": [ + "\u003cp\u003eservices.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes prohibiting or restricting functions, ports, protocols, and/or services\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing restrictions or prohibition of functions, ports, protocols, and/or services\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cm-7.1", + "class": "SP800-53-enhancement", + "title": "Periodic Review", + "params": [ + { + "id": "cm-7.1_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "cm-7.1_prm_2", + "label": "organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure" + } + ], + "props": [ + { + "class": "name", + "value": "CM-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-7 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eReviews the information system \u003cinsert param-id=\"cm-7.1_prm_1\"/\u003e to identify unnecessary and/or nonsecure functions, ports, protocols, and services; and\u003c/p\u003e" + ] + }, + { + "id": "cm-7.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-7 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eDisables \u003cinsert param-id=\"cm-7.1_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe organization can either make a determination of the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are examples of less than secure protocols.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#cm-7" + }, + { + "rel": "related", + "href": "#ia-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)" + } + ], + "parts": [ + { + "id": "cm-7.1_obj_1.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review the information system to identify unnecessary and/or nonsecure:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.1_obj_1.a.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1][a]" + } + ], + "prose": [ + "\u003cp\u003efunctions;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.1_obj_1.a.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1][b]" + } + ], + "prose": [ + "\u003cp\u003eports;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.1_obj_1.a.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eprotocols; and/or\u003c/p\u003e" + ] + }, + { + "id": "cm-7.1_obj_1.a.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eservices;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-7.1_obj_1.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews the information system with the organization-defined frequency to identify unnecessary and/or nonsecure:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.1_obj_1.a.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2][a]" + } + ], + "prose": [ + "\u003cp\u003efunctions;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.1_obj_1.a.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eports;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.1_obj_1.a.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2][c]" + } + ], + "prose": [ + "\u003cp\u003eprotocols; and/or\u003c/p\u003e" + ] + }, + { + "id": "cm-7.1_obj_1.a.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(a)[2][d]" + } + ], + "prose": [ + "\u003cp\u003eservices;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-7.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)" + } + ], + "parts": [ + { + "id": "cm-7.1_obj_1.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines, within the information system, unnecessary and/or nonsecure:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.1_obj_1.b.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1][a]" + } + ], + "prose": [ + "\u003cp\u003efunctions;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.1_obj_1.b.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1][b]" + } + ], + "prose": [ + "\u003cp\u003eports;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.1_obj_1.b.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eprotocols; and/or\u003c/p\u003e" + ] + }, + { + "id": "cm-7.1_obj_1.b.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eservices;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-7.1_obj_1.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edisables organization-defined unnecessary and/or nonsecure:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.1_obj_1.b.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2][a]" + } + ], + "prose": [ + "\u003cp\u003efunctions;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.1_obj_1.b.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eports;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.1_obj_1.b.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2][c]" + } + ], + "prose": [ + "\u003cp\u003eprotocols; and/or\u003c/p\u003e" + ] + }, + { + "id": "cm-7.1_obj_1.b.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(1)(b)[2][d]" + } + ], + "prose": [ + "\u003cp\u003eservices.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp\u003edocumented reviews of functions, ports, protocols, and/or services\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for reviewing/disabling nonsecure functions, ports, protocols, and/or services\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing review and disabling of nonsecure functions, ports, protocols, and/or services\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-7.2", + "class": "SP800-53-enhancement", + "title": "Prevent Program Execution", + "params": [ + { + "id": "cm-7.2_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "\n \n " + }, + { + "assignments": null, + "Value": "rules authorizing the terms and conditions of software program usage" + } + ] + } + }, + { + "id": "cm-7.2_prm_2", + "dependsOn": "cm-7.2_prm_1", + "label": "organization-defined policies regarding software program usage and restrictions" + } + ], + "props": [ + { + "class": "name", + "value": "CM-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system prevents program execution in accordance with \u003cinsert param-id=\"cm-7.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#cm-8" + }, + { + "rel": "related", + "href": "#pm-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines policies regarding software program usage and restrictions;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system prevents program execution in accordance with one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.2_obj_2.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(2)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined policies regarding program usage and restrictions; and/or\u003c/p\u003e" + ] + }, + { + "id": "cm-7.2_obj_2.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(2)[2][b]" + } + ], + "prose": [ + "\u003cp\u003erules authorizing the terms and conditions of software program usage.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003especifications for preventing software program execution\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes preventing program execution on the information system\u003c/p\u003e", + "\u003cp\u003eorganizational processes for software program usage and restrictions\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms preventing program execution on the information system\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing software program usage and restrictions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-7.3", + "class": "SP800-53-enhancement", + "title": "Registration Compliance", + "params": [ + { + "id": "cm-7.3_prm_1", + "label": "organization-defined registration requirements for functions, ports, protocols, and services" + } + ], + "props": [ + { + "class": "name", + "value": "CM-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures compliance with \u003cinsert param-id=\"cm-7.3_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations use the registration process to manage, track, and provide oversight for information systems and implemented functions, ports, protocols, and services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines registration requirements for:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.3_obj_3.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(3)[1][a]" + } + ], + "prose": [ + "\u003cp\u003efunctions;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.3_obj_3.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(3)[1][b]" + } + ], + "prose": [ + "\u003cp\u003eports;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.3_obj_3.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(3)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eprotocols; and/or\u003c/p\u003e" + ] + }, + { + "id": "cm-7.3_obj_3.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(3)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eservices;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-7.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(3)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures compliance with organization-defined registration requirements for:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.3_obj_3.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(3)[2][a]" + } + ], + "prose": [ + "\u003cp\u003efunctions;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.3_obj_3.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(3)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eports;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.3_obj_3.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(3)[2][c]" + } + ], + "prose": [ + "\u003cp\u003eprotocols; and/or\u003c/p\u003e" + ] + }, + { + "id": "cm-7.3_obj_3.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(3)[2][d]" + } + ], + "prose": [ + "\u003cp\u003eservices.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eaudit and compliance reviews\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes ensuring compliance with registration requirements for functions, ports, protocols, and/or services\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing compliance with registration requirements for functions, ports, protocols, and/or services\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-7.4", + "class": "SP800-53-enhancement", + "title": "Unauthorized Software / Blacklisting", + "params": [ + { + "id": "cm-7.4_prm_1", + "label": "organization-defined software programs not authorized to execute on the information system" + }, + { + "id": "cm-7.4_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-7 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-7 (4)(a)" + } + ], + "prose": [ + "\u003cp\u003eIdentifies \u003cinsert param-id=\"cm-7.4_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-7 (4)(b)" + } + ], + "prose": [ + "\u003cp\u003eEmploys an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system; and\u003c/p\u003e" + ] + }, + { + "id": "cm-7.4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-7 (4)(c)" + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the list of unauthorized software programs \u003cinsert param-id=\"cm-7.4_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe process used to identify software programs that are not authorized to execute on organizational information systems is commonly referred to as blacklisting. Organizations can implement CM-7 (5) instead of this control enhancement if whitelisting (the stronger of the two policies) is the preferred approach for restricting software program execution.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#cm-8" + }, + { + "rel": "related", + "href": "#pm-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.4_obj_4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(4)(a)" + } + ], + "prose": [ + "\u003cp\u003eIdentifies/defines software programs not authorized to execute on the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.4_obj_4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(4)(b)" + } + ], + "prose": [ + "\u003cp\u003eemploys an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.4_obj_4.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(4)(c)" + } + ], + "parts": [ + { + "id": "cm-7.4_obj_4.c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(4)(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the list of unauthorized software programs on the information system; and\u003c/p\u003e" + ] + }, + { + "id": "cm-7.4_obj_4.c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(4)(c)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the list of unauthorized software programs with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of software programs not authorized to execute on the information system\u003c/p\u003e", + "\u003cp\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp\u003ereview and update records associated with list of unauthorized software programs\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for identifying software not authorized to execute on the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational process for identifying, reviewing, and updating programs not authorized to execute on the information system\u003c/p\u003e", + "\u003cp\u003eorganizational process for implementing blacklisting\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing blacklisting\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-7.5", + "class": "SP800-53-enhancement", + "title": "Authorized Software / Whitelisting", + "params": [ + { + "id": "cm-7.5_prm_1", + "label": "organization-defined software programs authorized to execute on the information system" + }, + { + "id": "cm-7.5_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-7 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-7 (5)(a)" + } + ], + "prose": [ + "\u003cp\u003eIdentifies \u003cinsert param-id=\"cm-7.5_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-7 (5)(b)" + } + ], + "prose": [ + "\u003cp\u003eEmploys a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system; and\u003c/p\u003e" + ] + }, + { + "id": "cm-7.5_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-7 (5)(c)" + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the list of authorized software programs \u003cinsert param-id=\"cm-7.5_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe process used to identify software programs that are authorized to execute on organizational information systems is commonly referred to as whitelisting. In addition to whitelisting, organizations consider verifying the integrity of white-listed software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#cm-8" + }, + { + "rel": "related", + "href": "#pm-5" + }, + { + "rel": "related", + "href": "#sa-10" + }, + { + "rel": "related", + "href": "#sc-34" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-7.5_obj_5.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(5)(a)" + } + ], + "prose": [ + "\u003cp\u003eIdentifies/defines software programs authorized to execute on the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.5_obj_5.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(5)(b)" + } + ], + "prose": [ + "\u003cp\u003eemploys a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-7.5_obj_5.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(5)(c)" + } + ], + "parts": [ + { + "id": "cm-7.5_obj_5.c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(5)(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the list of authorized software programs on the information system; and\u003c/p\u003e" + ] + }, + { + "id": "cm-7.5_obj_5.c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-7(5)(c)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the list of authorized software programs with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing least functionality in the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of software programs authorized to execute on the information system\u003c/p\u003e", + "\u003cp\u003esecurity configuration checklists\u003c/p\u003e", + "\u003cp\u003ereview and update records associated with list of authorized software programs\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for identifying software authorized to execute on the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational process for identifying, reviewing, and updating programs authorized to execute on the information system\u003c/p\u003e", + "\u003cp\u003eorganizational process for implementing whitelisting\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing whitelisting\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cm-8", + "class": "SP800-53", + "title": "Information System Component Inventory", + "params": [ + { + "id": "cm-8_prm_1", + "label": "organization-defined information deemed necessary to achieve effective information system component accountability" + }, + { + "id": "cm-8_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-8_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-8a." + } + ], + "prose": [ + "\u003cp\u003eDevelops and documents an inventory of information system components that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-8_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-8a.1." + } + ], + "prose": [ + "\u003cp\u003eAccurately reflects the current information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-8_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-8a.2." + } + ], + "prose": [ + "\u003cp\u003eIncludes all components within the authorization boundary of the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-8_smt_a.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-8a.3." + } + ], + "prose": [ + "\u003cp\u003eIs at the level of granularity deemed necessary for tracking and reporting; and\u003c/p\u003e" + ] + }, + { + "id": "cm-8_smt_a.4", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-8a.4." + } + ], + "prose": [ + "\u003cp\u003eIncludes \u003cinsert param-id=\"cm-8_prm_1\"/\u003e; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-8_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-8b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the information system component inventory \u003cinsert param-id=\"cm-8_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include, for example, manufacturer, device type, model, serial number, and physical location.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#pm-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-8_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(a)" + } + ], + "parts": [ + { + "id": "cm-8_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(a)(1)" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents an inventory of information system components that accurately reflects the current information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-8_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(a)(2)" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents an inventory of information system components that includes all components within the authorization boundary of the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-8_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(a)(3)" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents an inventory of information system components that is at the level of granularity deemed necessary for tracking and reporting;\u003c/p\u003e" + ] + }, + { + "id": "cm-8_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(a)(4)" + } + ], + "parts": [ + { + "id": "cm-8_obj_a.4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(a)(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the information deemed necessary to achieve effective information system component accountability;\u003c/p\u003e" + ] + }, + { + "id": "cm-8_obj_a.4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(a)(4)[2]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents an inventory of information system components that includes organization-defined information deemed necessary to achieve effective information system component accountability;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-8_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(b)" + } + ], + "parts": [ + { + "id": "cm-8_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the information system component inventory; and\u003c/p\u003e" + ] + }, + { + "id": "cm-8_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the information system component inventory with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system inventory records\u003c/p\u003e", + "\u003cp\u003einventory reviews and update records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for information system component inventory\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for developing and documenting an inventory of information system components\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the information system component inventory\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cm-8.1", + "class": "SP800-53-enhancement", + "title": "Updates During Installations / Removals", + "props": [ + { + "class": "name", + "value": "CM-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization updates the inventory of information system components as an integral part of:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-8.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ecomponent installations;\u003c/p\u003e" + ] + }, + { + "id": "cm-8.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ecomponent removals; and\u003c/p\u003e" + ] + }, + { + "id": "cm-8.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(1)[3]" + } + ], + "prose": [ + "\u003cp\u003einformation system updates.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system inventory records\u003c/p\u003e", + "\u003cp\u003einventory reviews and update records\u003c/p\u003e", + "\u003cp\u003ecomponent installation records\u003c/p\u003e", + "\u003cp\u003ecomponent removal records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for updating the information system component inventory\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for updating inventory of information system components\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing updating of the information system component inventory\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-8.2", + "class": "SP800-53-enhancement", + "title": "Automated Maintenance", + "props": [ + { + "class": "name", + "value": "CM-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations maintain information system inventories to the extent feasible. Virtual machines, for example, can be difficult to monitor because such machines are not visible to the network when not in use. In such cases, organizations maintain as up-to-date, complete, and accurate an inventory as is deemed reasonable. This control enhancement can be satisfied by the implementation of CM-2 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to maintain an inventory of information system components that is:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-8.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(2)[1]" + } + ], + "prose": [ + "\u003cp\u003eup-to-date;\u003c/p\u003e" + ] + }, + { + "id": "cm-8.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ecomplete;\u003c/p\u003e" + ] + }, + { + "id": "cm-8.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eaccurate; and\u003c/p\u003e" + ] + }, + { + "id": "cm-8.2_obj_2.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(2)[4]" + } + ], + "prose": [ + "\u003cp\u003ereadily available.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system inventory records\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system maintenance records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for managing the automated mechanisms implementing the information system component inventory\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for maintaining the inventory of information system components\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing the information system component inventory\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-8.3", + "class": "SP800-53-enhancement", + "title": "Automated Unauthorized Component Detection", + "params": [ + { + "id": "cm-8.3_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "cm-8.3_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "disables network access by such components" + }, + { + "assignments": null, + "Value": "isolates the components" + }, + { + "assignments": null, + "Value": "notifies \n " + } + ] + } + }, + { + "id": "cm-8.3_prm_3", + "dependsOn": "cm-8.3_prm_2", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "CM-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-8.3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-8 (3)(a)" + } + ], + "prose": [ + "\u003cp\u003eEmploys automated mechanisms \u003cinsert param-id=\"cm-8.3_prm_1\"/\u003e to detect the presence of unauthorized hardware, software, and firmware components within the information system; and\u003c/p\u003e" + ] + }, + { + "id": "cm-8.3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-8 (3)(b)" + } + ], + "prose": [ + "\u003cp\u003eTakes the following actions when unauthorized components are detected: \u003cinsert param-id=\"cm-8.3_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented within information systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized information system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-4" + }, + { + "rel": "related", + "href": "#si-7" + }, + { + "rel": "related", + "href": "#ra-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-8.3_obj_3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)" + } + ], + "parts": [ + { + "id": "cm-8.3_obj_3.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to employ automated mechanisms to detect the presence of unauthorized:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-8.3_obj_3.a.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[1][a]" + } + ], + "prose": [ + "\u003cp\u003ehardware components within the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-8.3_obj_3.a.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[1][b]" + } + ], + "prose": [ + "\u003cp\u003esoftware components within the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-8.3_obj_3.a.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[1][c]" + } + ], + "prose": [ + "\u003cp\u003efirmware components within the information system;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-8.3_obj_3.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms with the organization-defined frequency to detect the presence of unauthorized:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-8.3_obj_3.a.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ehardware components within the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-8.3_obj_3.a.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[2][b]" + } + ], + "prose": [ + "\u003cp\u003esoftware components within the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-8.3_obj_3.a.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(a)[2][c]" + } + ], + "prose": [ + "\u003cp\u003efirmware components within the information system;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-8.3_obj_3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)" + } + ], + "parts": [ + { + "id": "cm-8.3_obj_3.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to be notified when unauthorized components are detected;\u003c/p\u003e" + ] + }, + { + "id": "cm-8.3_obj_3.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003etakes one or more of the following actions when unauthorized components are detected:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-8.3_obj_3.b.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[2][a]" + } + ], + "prose": [ + "\u003cp\u003edisables network access by such components;\u003c/p\u003e" + ] + }, + { + "id": "cm-8.3_obj_3.b.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eisolates the components; and/or\u003c/p\u003e" + ] + }, + { + "id": "cm-8.3_obj_3.b.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(3)(b)[2][c]" + } + ], + "prose": [ + "\u003cp\u003enotifies organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system inventory records\u003c/p\u003e", + "\u003cp\u003ealerts/notifications of unauthorized components within the information system\u003c/p\u003e", + "\u003cp\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized information system component detection\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for detection of unauthorized information system components\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing the detection of unauthorized information system components\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-8.4", + "class": "SP800-53-enhancement", + "title": "Accountability Information", + "params": [ + { + "id": "cm-8.4_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "name" + }, + { + "assignments": null, + "Value": "position" + }, + { + "assignments": null, + "Value": "role" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "CM-8 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization includes in the information system component inventory information, a means for identifying by \u003cinsert param-id=\"cm-8.4_prm_1\"/\u003e, individuals responsible/accountable for administering those components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIdentifying individuals who are both responsible and accountable for administering information system components helps to ensure that the assigned components are properly administered and organizations can contact those individuals if some action is required (e.g., component is determined to be the source of a breach/compromise, component needs to be recalled/replaced, or component needs to be relocated).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization includes in the information system component inventory for information system components, a means for identifying the individuals responsible and accountable for administering those components by one or more of the following: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-8.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(4)[1]" + } + ], + "prose": [ + "\u003cp\u003ename;\u003c/p\u003e" + ] + }, + { + "id": "cm-8.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eposition; and/or\u003c/p\u003e" + ] + }, + { + "id": "cm-8.4_obj_4.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(4)[3]" + } + ], + "prose": [ + "\u003cp\u003erole.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system inventory records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for managing the information system component inventory\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for maintaining the inventory of information system components\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing the information system component inventory\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-8.5", + "class": "SP800-53-enhancement", + "title": "No Duplicate Accounting of Components", + "props": [ + { + "class": "name", + "value": "CM-8 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system component inventories.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses the potential problem of duplicate accounting of information system components in large or complex interconnected systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system inventories. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system inventory records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system inventory responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for defining information system components within the authorization boundary of the system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for maintaining the inventory of information system components\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing the information system component inventory\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-8.6", + "class": "SP800-53-enhancement", + "title": "Assessed Configurations / Approved Deviations", + "props": [ + { + "class": "name", + "value": "CM-8 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on configuration settings established by organizations for information system components, the specific components that have been assessed to determine compliance with the required configuration settings, and any approved deviations from established configuration settings.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#cm-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization includes in the information system component inventory: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-8.6_obj_6.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(6)[1]" + } + ], + "prose": [ + "\u003cp\u003eassessed component configurations; and\u003c/p\u003e" + ] + }, + { + "id": "cm-8.6_obj_6.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(6)[2]" + } + ], + "prose": [ + "\u003cp\u003eany approved deviations to current deployed configurations.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system inventory records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with inventory management and assessment responsibilities for information system components\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for maintaining the inventory of information system components\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing the information system component inventory\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-8.7", + "class": "SP800-53-enhancement", + "title": "Centralized Repository", + "props": [ + { + "class": "name", + "value": "CM-8 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides a centralized repository for the inventory of information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to implement centralized information system component inventories that include components from all organizational information systems. Centralized repositories of information system component inventories provide opportunities for efficiencies in accounting for organizational hardware, software, and firmware assets. Such repositories may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions. Organizations ensure that the resulting centralized inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization provides a centralized repository for the inventory of information system components. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system inventory repository\u003c/p\u003e", + "\u003cp\u003einformation system inventory records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with inventory management responsibilities for information system components\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing the information system component inventory in a centralized repository\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-8.8", + "class": "SP800-53-enhancement", + "title": "Automated Location Tracking", + "props": [ + { + "class": "name", + "value": "CM-8 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to support tracking of information system components by geographic location.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of automated mechanisms to track the location of information system components can increase the accuracy of component inventories. Such capability may also help organizations rapidly identify the location and responsible individuals of system components that have been compromised, breached, or are otherwise in need of mitigation actions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to support tracking of information system components by geographic location. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system inventory records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with inventory management responsibilities for information system components\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing the information system component inventory\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting tracking of information system components by geographic location\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-8.9", + "class": "SP800-53-enhancement", + "title": "Assignment of Components to Systems", + "params": [ + { + "id": "cm-8.9_prm_1", + "label": "organization-defined acquired information system components" + } + ], + "props": [ + { + "class": "name", + "value": "CM-8 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-8.9_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-8 (9)(a)" + } + ], + "prose": [ + "\u003cp\u003eAssigns \u003cinsert param-id=\"cm-8.9_prm_1\"/\u003e to an information system; and\u003c/p\u003e" + ] + }, + { + "id": "cm-8.9_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-8 (9)(b)" + } + ], + "prose": [ + "\u003cp\u003eReceives an acknowledgement from the information system owner of this assignment.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the criteria for or types of information system components (e.g., microprocessors, motherboards, software, programmable logic controllers, and network devices) that are subject to this control enhancement.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-8.9_obj_9.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(9)(a)" + } + ], + "parts": [ + { + "id": "cm-8.9_obj_9.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(9)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines acquired information system components to be assigned to an information system; and\u003c/p\u003e" + ] + }, + { + "id": "cm-8.9_obj_9.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(9)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eassigns organization-defined acquired information system components to an information system; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-8.9_obj_9.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-8(9)(b)" + } + ], + "prose": [ + "\u003cp\u003ereceives an acknowledgement from the information system owner of the assignment.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system component inventory\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003eacknowledgements of information system component assignments\u003c/p\u003e", + "\u003cp\u003einformation system inventory records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with inventory management responsibilities for information system components\u003c/p\u003e", + "\u003cp\u003einformation system owner\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for assigning components to systems\u003c/p\u003e", + "\u003cp\u003eorganizational processes for acknowledging assignment of components to systems\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing assignment of acquired components to the information system\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing acknowledgment of assignment of acquired components to the information system\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cm-9", + "class": "SP800-53", + "title": "Configuration Management Plan", + "props": [ + { + "class": "name", + "value": "CM-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization develops, documents, and implements a configuration management plan for the information system that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-9_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-9a." + } + ], + "prose": [ + "\u003cp\u003eAddresses roles, responsibilities, and configuration management processes and procedures;\u003c/p\u003e" + ] + }, + { + "id": "cm-9_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-9b." + } + ], + "prose": [ + "\u003cp\u003eEstablishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;\u003c/p\u003e" + ] + }, + { + "id": "cm-9_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-9c." + } + ], + "prose": [ + "\u003cp\u003eDefines the configuration items for the information system and places the configuration items under configuration management; and\u003c/p\u003e" + ] + }, + { + "id": "cm-9_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-9d." + } + ], + "prose": [ + "\u003cp\u003eProtects the configuration management plan from unauthorized disclosure and modification.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConfiguration management plans satisfy the requirements in configuration management policies while being tailored to individual information systems. Such plans define detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. Configuration management plans are typically developed during the development/acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baselines, how to maintain information system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization at large with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to information systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration-managed. As information systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-4" + }, + { + "rel": "related", + "href": "#cm-5" + }, + { + "rel": "related", + "href": "#cm-8" + }, + { + "rel": "related", + "href": "#sa-10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization develops, documents, and implements a configuration management plan for the information system that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-9_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-9(a)" + } + ], + "parts": [ + { + "id": "cm-9_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-9(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eaddresses roles;\u003c/p\u003e" + ] + }, + { + "id": "cm-9_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-9(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eaddresses responsibilities;\u003c/p\u003e" + ] + }, + { + "id": "cm-9_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-9(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eaddresses configuration management processes and procedures;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-9_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-9(b)" + } + ], + "prose": [ + "\u003cp\u003eestablishes a process for:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-9_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-9(b)[1]" + } + ], + "prose": [ + "\u003cp\u003eidentifying configuration items throughout the SDLC;\u003c/p\u003e" + ] + }, + { + "id": "cm-9_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-9(b)[2]" + } + ], + "prose": [ + "\u003cp\u003emanaging the configuration of the configuration items;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-9_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-9(c)" + } + ], + "parts": [ + { + "id": "cm-9_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-9(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the configuration items for the information system;\u003c/p\u003e" + ] + }, + { + "id": "cm-9_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-9(c)[2]" + } + ], + "prose": [ + "\u003cp\u003eplaces the configuration items under configuration management;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-9_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-9(d)" + } + ], + "prose": [ + "\u003cp\u003eprotects the configuration management plan from unauthorized:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-9_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-9(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edisclosure; and\u003c/p\u003e" + ] + }, + { + "id": "cm-9_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-9(d)[2]" + } + ], + "prose": [ + "\u003cp\u003emodification.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing configuration management planning\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for developing the configuration management plan\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for protecting the configuration management plan\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for developing and documenting the configuration management plan\u003c/p\u003e", + "\u003cp\u003eorganizational processes for identifying and managing configuration items\u003c/p\u003e", + "\u003cp\u003eorganizational processes for protecting the configuration management plan\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing the configuration management plan\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for managing configuration items\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for protecting the configuration management plan\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cm-9.1", + "class": "SP800-53-enhancement", + "title": "Assignment of Responsibility", + "props": [ + { + "class": "name", + "value": "CM-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn the absence of dedicated configuration management teams assigned within organizations, system developers may be tasked to develop configuration management processes using personnel who are not directly involved in system development or integration. This separation of duties ensures that organizations establish and maintain a sufficient degree of independence between the information system development and integration processes and configuration management processes to facilitate quality control and more effective oversight.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing responsibilities for configuration management process development\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for configuration management process development\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cm-10", + "class": "SP800-53", + "title": "Software Usage Restrictions", + "props": [ + { + "class": "name", + "value": "CM-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-10_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-10a." + } + ], + "prose": [ + "\u003cp\u003eUses software and associated documentation in accordance with contract agreements and copyright laws;\u003c/p\u003e" + ] + }, + { + "id": "cm-10_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-10b." + } + ], + "prose": [ + "\u003cp\u003eTracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and\u003c/p\u003e" + ] + }, + { + "id": "cm-10_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-10c." + } + ], + "prose": [ + "\u003cp\u003eControls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSoftware license tracking can be accomplished by manual methods (e.g., simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on organizational needs.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#cm-8" + }, + { + "rel": "related", + "href": "#sc-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-10_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-10(a)" + } + ], + "prose": [ + "\u003cp\u003euses software and associated documentation in accordance with contract agreements and copyright laws;\u003c/p\u003e" + ] + }, + { + "id": "cm-10_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-10(b)" + } + ], + "prose": [ + "\u003cp\u003etracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and\u003c/p\u003e" + ] + }, + { + "id": "cm-10_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-10(c)" + } + ], + "prose": [ + "\u003cp\u003econtrols and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software usage restrictions\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esoftware contract agreements and copyright laws\u003c/p\u003e", + "\u003cp\u003esite license documentation\u003c/p\u003e", + "\u003cp\u003elist of software usage restrictions\u003c/p\u003e", + "\u003cp\u003esoftware license tracking reports\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with software license management responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational process for tracking the use of software protected by quantity licenses\u003c/p\u003e", + "\u003cp\u003eorganization process for controlling/documenting the use of peer-to-peer file sharing technology\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing software license tracking\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing and controlling the use of peer-to-peer files sharing technology\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cm-10.1", + "class": "SP800-53-enhancement", + "title": "Open Source Software", + "params": [ + { + "id": "cm-10.1_prm_1", + "label": "organization-defined restrictions" + } + ], + "props": [ + { + "class": "name", + "value": "CM-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization establishes the following restrictions on the use of open source software: \u003cinsert param-id=\"cm-10.1_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOpen source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, there are also various licensing issues associated with open source software including, for example, the constraints on derivative use of such software.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-10.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-10(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines restrictions on the use of open source software; and\u003c/p\u003e" + ] + }, + { + "id": "cm-10.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-10(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eestablishes organization-defined restrictions on the use of open source software.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing restrictions on use of open source software\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for establishing and enforcing restrictions on use of open source software\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational process for restricting the use of open source software\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing restrictions on the use of open source software\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "cm-11", + "class": "SP800-53", + "title": "User-installed Software", + "params": [ + { + "id": "cm-11_prm_1", + "label": "organization-defined policies" + }, + { + "id": "cm-11_prm_2", + "label": "organization-defined methods" + }, + { + "id": "cm-11_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CM-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-11_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-11a." + } + ], + "prose": [ + "\u003cp\u003eEstablishes \u003cinsert param-id=\"cm-11_prm_1\"/\u003e governing the installation of software by users;\u003c/p\u003e" + ] + }, + { + "id": "cm-11_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-11b." + } + ], + "prose": [ + "\u003cp\u003eEnforces software installation policies through \u003cinsert param-id=\"cm-11_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "cm-11_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CM-11c." + } + ], + "prose": [ + "\u003cp\u003eMonitors policy compliance at \u003cinsert param-id=\"cm-11_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIf provided the necessary privileges, users have the ability to install software in organizational information systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved “app stores” Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user accounts), automated methods (e.g., configuration settings implemented on organizational information systems), or both.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-5" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#cm-7" + }, + { + "rel": "related", + "href": "#pl-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-11_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-11(a)" + } + ], + "parts": [ + { + "id": "cm-11_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-11(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines policies to govern the installation of software by users;\u003c/p\u003e" + ] + }, + { + "id": "cm-11_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-11(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eestablishes organization-defined policies governing the installation of software by users;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-11_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-11(b)" + } + ], + "parts": [ + { + "id": "cm-11_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-11(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines methods to enforce software installation policies;\u003c/p\u003e" + ] + }, + { + "id": "cm-11_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-11(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eenforces software installation policies through organization-defined methods;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cm-11_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-11(c)" + } + ], + "parts": [ + { + "id": "cm-11_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-11(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines frequency to monitor policy compliance; and\u003c/p\u003e" + ] + }, + { + "id": "cm-11_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-11(c)[2]" + } + ], + "prose": [ + "\u003cp\u003emonitors policy compliance at organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user installed software\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of rules governing user installed software\u003c/p\u003e", + "\u003cp\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e", + "\u003cp\u003econtinuous monitoring strategy\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for governing user-installed software\u003c/p\u003e", + "\u003cp\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel monitoring compliance with user-installed software policy\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes governing user-installed software on the information system\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms enforcing rules/methods for governing the installation of software by users\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms monitoring policy compliance\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cm-11.1", + "class": "SP800-53-enhancement", + "title": "Alerts for Unauthorized Installations", + "params": [ + { + "id": "cm-11.1_prm_1", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "CM-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system alerts \u003cinsert param-id=\"cm-11.1_prm_1\"/\u003e when the unauthorized installation of software is detected.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cm-11.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-11(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines personnel or roles to be alerted when the unauthorized installation of software is detected; and\u003c/p\u003e" + ] + }, + { + "id": "cm-11.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CM-11(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system alerts organization-defined personnel or roles when the unauthorized installation of software is detected.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user installed software\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for governing user-installed software\u003c/p\u003e", + "\u003cp\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes governing user-installed software on the information system\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for alerting personnel/roles when unauthorized installation of software is detected\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cm-11.2", + "class": "SP800-53-enhancement", + "title": "Prohibit Installation Without Privileged Status", + "props": [ + { + "class": "name", + "value": "CM-11 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system prohibits user installation of software without explicit privileged status.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrivileged status can be obtained, for example, by serving in the role of system administrator.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system prohibits user installation of software without explicit privileged status.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eConfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user installed software\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ealerts/notifications of unauthorized software installations\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for governing user-installed software\u003c/p\u003e", + "\u003cp\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes governing user-installed software on the information system\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for prohibiting installation of software without privileged status (e.g., access controls)\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "Contingency Planning", + "controls": [ + { + "id": "cp-1", + "class": "SP800-53", + "title": "Contingency Planning Policy and Procedures", + "params": [ + { + "id": "cp-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "cp-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "cp-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CP-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"cp-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-1a.1." + } + ], + "prose": [ + "\u003cp\u003eA contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "cp-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-1b.1." + } + ], + "prose": [ + "\u003cp\u003eContingency planning policy \u003cinsert param-id=\"cp-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "cp-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-1b.2." + } + ], + "prose": [ + "\u003cp\u003eContingency planning procedures \u003cinsert param-id=\"cp-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)" + } + ], + "parts": [ + { + "id": "cp-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization develops and documents a contingency planning policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "cp-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "cp-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "cp-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "cp-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "cp-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "cp-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines personnel or roles to whom the contingency planning policy is to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "cp-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization disseminates the contingency planning policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(2)" + } + ], + "parts": [ + { + "id": "cp-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization develops and documents procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls;\u003c/p\u003e" + ] + }, + { + "id": "cp-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "cp-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization disseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(b)(1)" + } + ], + "parts": [ + { + "id": "cp-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the frequency to review and update the current contingency planning policy;\u003c/p\u003e" + ] + }, + { + "id": "cp-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization reviews and updates the current contingency planning with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(b)(2)" + } + ], + "parts": [ + { + "id": "cp-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the frequency to review and update the current contingency planning procedures; and\u003c/p\u003e" + ] + }, + { + "id": "cp-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization reviews and updates the current contingency planning procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cp-2", + "class": "SP800-53", + "title": "Contingency Plan", + "params": [ + { + "id": "cp-2_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "cp-2_prm_2", + "label": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + }, + { + "id": "cp-2_prm_3", + "label": "organization-defined frequency" + }, + { + "id": "cp-2_prm_4", + "label": "organization-defined key contingency personnel (identified by name and/or by role) and organizational elements" + } + ], + "props": [ + { + "class": "name", + "value": "CP-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-2a." + } + ], + "prose": [ + "\u003cp\u003eDevelops a contingency plan for the information system that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-2_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-2a.1." + } + ], + "prose": [ + "\u003cp\u003eIdentifies essential missions and business functions and associated contingency requirements;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-2a.2." + } + ], + "prose": [ + "\u003cp\u003eProvides recovery objectives, restoration priorities, and metrics;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_smt_a.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-2a.3." + } + ], + "prose": [ + "\u003cp\u003eAddresses contingency roles, responsibilities, assigned individuals with contact information;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_smt_a.4", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-2a.4." + } + ], + "prose": [ + "\u003cp\u003eAddresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_smt_a.5", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-2a.5." + } + ], + "prose": [ + "\u003cp\u003eAddresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented; and\u003c/p\u003e" + ] + }, + { + "id": "cp-2_smt_a.6", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-2a.6." + } + ], + "prose": [ + "\u003cp\u003eIs reviewed and approved by \u003cinsert param-id=\"cp-2_prm_1\"/\u003e;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-2b." + } + ], + "prose": [ + "\u003cp\u003eDistributes copies of the contingency plan to \u003cinsert param-id=\"cp-2_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-2c." + } + ], + "prose": [ + "\u003cp\u003eCoordinates contingency planning activities with incident handling activities;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-2d." + } + ], + "prose": [ + "\u003cp\u003eReviews the contingency plan for the information system \u003cinsert param-id=\"cp-2_prm_3\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-2e." + } + ], + "prose": [ + "\u003cp\u003eUpdates the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_smt_f", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-2f." + } + ], + "prose": [ + "\u003cp\u003eCommunicates contingency plan changes to \u003cinsert param-id=\"cp-2_prm_4\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "cp-2_smt_g", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-2g." + } + ], + "prose": [ + "\u003cp\u003eProtects the contingency plan from unauthorized disclosure and modification.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. The effectiveness of contingency planning is maximized by considering such planning throughout the phases of the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving information system resiliency. Contingency plans reflect the degree of restoration required for organizational information systems since not all systems may need to fully recover to achieve the level of continuity of operations desired. Information system recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission and/or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of information systems. Actions addressed in contingency plans include, for example, orderly/graceful degradation, information system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By closely coordinating contingency planning with incident handling activities, organizations can ensure that the necessary contingency planning activities are in place and activated in the event of a security incident.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-14" + }, + { + "rel": "related", + "href": "#cp-6" + }, + { + "rel": "related", + "href": "#cp-7" + }, + { + "rel": "related", + "href": "#cp-8" + }, + { + "rel": "related", + "href": "#cp-9" + }, + { + "rel": "related", + "href": "#cp-10" + }, + { + "rel": "related", + "href": "#ir-4" + }, + { + "rel": "related", + "href": "#ir-8" + }, + { + "rel": "related", + "href": "#mp-2" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#mp-5" + }, + { + "rel": "related", + "href": "#pm-8" + }, + { + "rel": "related", + "href": "#pm-11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-2_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents a contingency plan for the information system that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-2_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)(1)" + } + ], + "prose": [ + "\u003cp\u003eidentifies essential missions and business functions and associated contingency requirements;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)(2)" + } + ], + "parts": [ + { + "id": "cp-2_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003eprovides recovery objectives;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides restoration priorities;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eprovides metrics;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-2_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)(3)" + } + ], + "parts": [ + { + "id": "cp-2_obj_a.3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)(3)[1]" + } + ], + "prose": [ + "\u003cp\u003eaddresses contingency roles;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_obj_a.3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)(3)[2]" + } + ], + "prose": [ + "\u003cp\u003eaddresses contingency responsibilities;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_obj_a.3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)(3)[3]" + } + ], + "prose": [ + "\u003cp\u003eaddresses assigned individuals with contact information;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-2_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)(4)" + } + ], + "prose": [ + "\u003cp\u003eaddresses maintaining essential missions and business functions despite an information system disruption, compromise, or failure;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_obj_a.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)(5)" + } + ], + "prose": [ + "\u003cp\u003eaddresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_obj_a.6", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)(6)" + } + ], + "parts": [ + { + "id": "cp-2_obj_a.6.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)(6)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to review and approve the contingency plan for the information system;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_obj_a.6.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(a)(6)[2]" + } + ], + "prose": [ + "\u003cp\u003eis reviewed and approved by organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-2_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(b)" + } + ], + "parts": [ + { + "id": "cp-2_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines key contingency personnel (identified by name and/or by role) and organizational elements to whom copies of the contingency plan are to be distributed;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edistributes copies of the contingency plan to organization-defined key contingency personnel and organizational elements;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-2_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(c)" + } + ], + "prose": [ + "\u003cp\u003ecoordinates contingency planning activities with incident handling activities;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(d)" + } + ], + "parts": [ + { + "id": "cp-2_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to review the contingency plan for the information system;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(d)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews the contingency plan with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-2_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(e)" + } + ], + "prose": [ + "\u003cp\u003eupdates the contingency plan to address:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-2_obj_e.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(e)[1]" + } + ], + "prose": [ + "\u003cp\u003echanges to the organization, information system, or environment of operation;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_obj_e.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(e)[2]" + } + ], + "prose": [ + "\u003cp\u003eproblems encountered during plan implementation, execution, and testing;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-2_obj_f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(f)" + } + ], + "parts": [ + { + "id": "cp-2_obj_f.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(f)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines key contingency personnel (identified by name and/or by role) and organizational elements to whom contingency plan changes are to be communicated;\u003c/p\u003e" + ] + }, + { + "id": "cp-2_obj_f.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(f)[2]" + } + ], + "prose": [ + "\u003cp\u003ecommunicates contingency plan changes to organization-defined key contingency personnel and organizational elements; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-2_obj_g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(g)" + } + ], + "prose": [ + "\u003cp\u003eprotects the contingency plan from unauthorized disclosure and modification.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eevidence of contingency plan reviews and updates\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for contingency plan development, review, update, and protection\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for developing, reviewing, updating and/or protecting the contingency plan\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cp-2.1", + "class": "SP800-53-enhancement", + "title": "Coordinate with Related Plans", + "props": [ + { + "class": "name", + "value": "CP-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization coordinates contingency plan development with organizational elements responsible for related plans.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant Emergency Plans.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization coordinates contingency plan development with organizational elements responsible for related plans.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ebusiness contingency plans\u003c/p\u003e", + "\u003cp\u003edisaster recovery plans\u003c/p\u003e", + "\u003cp\u003econtinuity of operations plans\u003c/p\u003e", + "\u003cp\u003ecrisis communications plans\u003c/p\u003e", + "\u003cp\u003ecritical infrastructure plans\u003c/p\u003e", + "\u003cp\u003ecyber incident response plan\u003c/p\u003e", + "\u003cp\u003einsider threat implementation plans\u003c/p\u003e", + "\u003cp\u003eoccupant emergency plans\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003epersonnel with responsibility for related plans\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-2.2", + "class": "SP800-53-enhancement", + "title": "Capacity Planning", + "props": [ + { + "class": "name", + "value": "CP-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCapacity planning is needed because different types of threats (e.g., natural disasters, targeted cyber attacks) can result in a reduction of the available processing, telecommunications, and support services originally intended to support the organizational missions/business functions. Organizations may need to anticipate degraded operations during contingency operations and factor such degradation into capacity planning.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization conducts capacity planning so that necessary capacity exists during contingency operations for: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-2.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(2)[1]" + } + ], + "prose": [ + "\u003cp\u003einformation processing;\u003c/p\u003e" + ] + }, + { + "id": "cp-2.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(2)[2]" + } + ], + "prose": [ + "\u003cp\u003etelecommunications; and\u003c/p\u003e" + ] + }, + { + "id": "cp-2.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eenvironmental support.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ecapacity planning documents\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-2.3", + "class": "SP800-53-enhancement", + "title": "Resume Essential Missions / Business Functions", + "params": [ + { + "id": "cp-2.3_prm_1", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "CP-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization plans for the resumption of essential missions and business functions within \u003cinsert param-id=\"cp-2.3_prm_1\"/\u003e of contingency plan activation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of essential missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-2.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period to plan for the resumption of essential missions and business functions as a result of contingency plan activation; and\u003c/p\u003e" + ] + }, + { + "id": "cp-2.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(3)[2]" + } + ], + "prose": [ + "\u003cp\u003eplans for the resumption of essential missions and business functions within organization-defined time period of contingency plan activation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp\u003eother related plans\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for resumption of missions and business functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-2.4", + "class": "SP800-53-enhancement", + "title": "Resume All Missions / Business Functions", + "params": [ + { + "id": "cp-2.4_prm_1", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "CP-2 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization plans for the resumption of all missions and business functions within \u003cinsert param-id=\"cp-2.4_prm_1\"/\u003e of contingency plan activation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of all missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-2.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period to plan for the resumption of all missions and business functions as a result of contingency plan activation; and\u003c/p\u003e" + ] + }, + { + "id": "cp-2.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eplans for the resumption of all missions and business functions within organization-defined time period of contingency plan activation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp\u003eother related plans\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for resumption of missions and business functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-2.5", + "class": "SP800-53-enhancement", + "title": "Continue Essential Missions / Business Functions", + "props": [ + { + "class": "name", + "value": "CP-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-2.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(5)[1]" + } + ], + "prose": [ + "\u003cp\u003eplans for the continuance of essential missions and business functions with little or no loss of operational continuity; and\u003c/p\u003e" + ] + }, + { + "id": "cp-2.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(5)[2]" + } + ], + "prose": [ + "\u003cp\u003esustains that operational continuity until full information system restoration at primary processing and/or storage sites.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp\u003eprimary processing site agreements\u003c/p\u003e", + "\u003cp\u003eprimary storage site agreements\u003c/p\u003e", + "\u003cp\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp\u003econtingency plan test results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for continuing missions and business functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-2.6", + "class": "SP800-53-enhancement", + "title": "Alternate Processing / Storage Site", + "props": [ + { + "class": "name", + "value": "CP-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through information system restoration to primary processing and/or storage sites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Primary processing and/or storage sites defined by organizations as part of contingency planning may change depending on the circumstances associated with the contingency (e.g., backup sites may become primary sites).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-2.6_obj_6.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(6)[1]" + } + ], + "prose": [ + "\u003cp\u003eplans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity; and\u003c/p\u003e" + ] + }, + { + "id": "cp-2.6_obj_6.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-2(6)[2]" + } + ], + "prose": [ + "\u003cp\u003esustains that operational continuity through information system restoration to primary processing and/or storage sites.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp\u003econtingency plan testing documentation\u003c/p\u003e", + "\u003cp\u003econtingency plan test results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for transfer of essential missions and business functions to alternate processing/storage sites\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-2.7", + "class": "SP800-53-enhancement", + "title": "Coordinate with External Service Providers", + "props": [ + { + "class": "name", + "value": "CP-2 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization coordinates its contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen the capability of an organization to successfully carry out its core missions/business functions is dependent on external service providers, developing a timely and comprehensive contingency plan may become more challenging. In this situation, organizations coordinate contingency planning activities with the external entities to ensure that the individual plans reflect the overall contingency needs of the organization.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization coordinates its contingency plan with the contingency plans of external service provides to ensure contingency requirements can be satisfied. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003econtingency plans of external\u003c/p\u003e", + "\u003cp\u003eservice providers\u003c/p\u003e", + "\u003cp\u003eservice level agreements\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003econtingency plan requirements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eexternal service providers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-2.8", + "class": "SP800-53-enhancement", + "title": "Identify Critical Assets", + "props": [ + { + "class": "name", + "value": "CP-2 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization identifies critical information system assets supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Organizations identify critical information system assets so that additional safeguards and countermeasures can be employed (above and beyond those safeguards and countermeasures routinely implemented) to help ensure that organizational missions/business functions can continue to be conducted during contingency operations. In addition, the identification of critical information assets facilitates the prioritization of organizational resources. Critical information system assets include technical and operational aspects. Technical aspects include, for example, information technology services, information system components, information technology products, and mechanisms. Operational aspects include, for example, procedures (manually executed operations) and personnel (individuals operating technical safeguards and/or executing manual procedures). Organizational program protection plans can provide assistance in identifying critical assets.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-14" + }, + { + "rel": "related", + "href": "#sa-15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization identifies critical information system assets supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency operations for the information system\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ebusiness impact assessment\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cp-3", + "class": "SP800-53", + "title": "Contingency Training", + "params": [ + { + "id": "cp-3_prm_1", + "label": "organization-defined time period" + }, + { + "id": "cp-3_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CP-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides contingency training to information system users consistent with assigned roles and responsibilities:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-3a." + } + ], + "prose": [ + "\u003cp\u003eWithin \u003cinsert param-id=\"cp-3_prm_1\"/\u003e of assuming a contingency role or responsibility;\u003c/p\u003e" + ] + }, + { + "id": "cp-3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-3b." + } + ], + "prose": [ + "\u003cp\u003eWhen required by information system changes; and\u003c/p\u003e" + ] + }, + { + "id": "cp-3_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-3c." + } + ], + "prose": [ + "\u003cp\u003e \u003cinsert param-id=\"cp-3_prm_2\"/\u003e thereafter.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, regular users may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to set up information systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-2" + }, + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#ir-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-3_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-3(a)" + } + ], + "parts": [ + { + "id": "cp-3_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-3(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a time period within which contingency training is to be provided to information system users assuming a contingency role or responsibility;\u003c/p\u003e" + ] + }, + { + "id": "cp-3_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-3(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides contingency training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming a contingency role or responsibility;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-3_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-3(b)" + } + ], + "prose": [ + "\u003cp\u003eprovides contingency training to information system users consistent with assigned roles and responsibilities when required by information system changes;\u003c/p\u003e" + ] + }, + { + "id": "cp-3_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-3(c)" + } + ], + "parts": [ + { + "id": "cp-3_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-3(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency for contingency training thereafter; and\u003c/p\u003e" + ] + }, + { + "id": "cp-3_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-3(c)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides contingency training to information system users consistent with assigned roles and responsibilities with the organization-defined frequency thereafter.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency training\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003econtingency training curriculum\u003c/p\u003e", + "\u003cp\u003econtingency training material\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003econtingency training records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning, plan implementation, and training responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for contingency training\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cp-3.1", + "class": "SP800-53-enhancement", + "title": "Simulated Events", + "props": [ + { + "class": "name", + "value": "CP-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency training\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003econtingency training curriculum\u003c/p\u003e", + "\u003cp\u003econtingency training material\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning, plan implementation, and training responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for contingency training\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for simulating contingency events\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-3.2", + "class": "SP800-53-enhancement", + "title": "Automated Training Environments", + "props": [ + { + "class": "name", + "value": "CP-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency training\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003econtingency training curriculum\u003c/p\u003e", + "\u003cp\u003econtingency training material\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning, plan implementation, and training responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for contingency training\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for providing contingency training environments\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cp-4", + "class": "SP800-53", + "title": "Contingency Plan Testing", + "params": [ + { + "id": "cp-4_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "cp-4_prm_2", + "label": "organization-defined tests" + } + ], + "props": [ + { + "class": "name", + "value": "CP-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-4a." + } + ], + "prose": [ + "\u003cp\u003eTests the contingency plan for the information system \u003cinsert param-id=\"cp-4_prm_1\"/\u003e using \u003cinsert param-id=\"cp-4_prm_2\"/\u003e to determine the effectiveness of the plan and the organizational readiness to execute the plan;\u003c/p\u003e" + ] + }, + { + "id": "cp-4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-4b." + } + ], + "prose": [ + "\u003cp\u003eReviews the contingency plan test results; and\u003c/p\u003e" + ] + }, + { + "id": "cp-4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-4c." + } + ], + "prose": [ + "\u003cp\u003eInitiates corrective actions, if needed.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMethods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include, for example, walk-through and tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive exercises. Organizations conduct testing based on the continuity requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals arising due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#cp-3" + }, + { + "rel": "related", + "href": "#ir-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-4_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-4(a)" + } + ], + "parts": [ + { + "id": "cp-4_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-4(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines tests to determine the effectiveness of the contingency plan and the organizational readiness to execute the plan;\u003c/p\u003e" + ] + }, + { + "id": "cp-4_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-4(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to test the contingency plan for the information system;\u003c/p\u003e" + ] + }, + { + "id": "cp-4_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-4(a)[3]" + } + ], + "prose": [ + "\u003cp\u003etests the contingency plan for the information system with the organization-defined frequency, using organization-defined tests to determine the effectiveness of the plan and the organizational readiness to execute the plan;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-4_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-4(b)" + } + ], + "prose": [ + "\u003cp\u003ereviews the contingency plan test results; and\u003c/p\u003e" + ] + }, + { + "id": "cp-4_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-4(c)" + } + ], + "prose": [ + "\u003cp\u003einitiates corrective actions, if needed.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency plan testing\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp\u003econtingency plan test results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for contingency plan testing, reviewing or responding to contingency plan tests\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for contingency plan testing\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting the contingency plan and/or contingency plan testing\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cp-4.1", + "class": "SP800-53-enhancement", + "title": "Coordinate with Related Plans", + "props": [ + { + "class": "name", + "value": "CP-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization coordinates contingency plan testing with organizational elements responsible for related plans.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. This control enhancement does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations should coordinate with those elements.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ir-8" + }, + { + "rel": "related", + "href": "#pm-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization coordinates contingency plan testing with organizational elements responsible for related plans. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eincident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency plan testing\u003c/p\u003e", + "\u003cp\u003econtingency plan testing documentation\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ebusiness continuity plans\u003c/p\u003e", + "\u003cp\u003edisaster recovery plans\u003c/p\u003e", + "\u003cp\u003econtinuity of operations plans\u003c/p\u003e", + "\u003cp\u003ecrisis communications plans\u003c/p\u003e", + "\u003cp\u003ecritical infrastructure plans\u003c/p\u003e", + "\u003cp\u003ecyber incident response plans\u003c/p\u003e", + "\u003cp\u003eoccupant emergency plans\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan testing responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel\u003c/p\u003e", + "\u003cp\u003epersonnel with responsibilities for related plans\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-4.2", + "class": "SP800-53-enhancement", + "title": "Alternate Processing Site", + "props": [ + { + "class": "name", + "value": "CP-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization tests the contingency plan at the alternate processing site:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-4.2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-4 (2)(a)" + } + ], + "prose": [ + "\u003cp\u003eTo familiarize contingency personnel with the facility and available resources; and\u003c/p\u003e" + ] + }, + { + "id": "cp-4.2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-4 (2)(b)" + } + ], + "prose": [ + "\u003cp\u003eTo evaluate the capabilities of the alternate processing site to support contingency operations.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#cp-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization tests the contingency plan at the alternate processing site to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-4.2_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-4(2)(a)" + } + ], + "prose": [ + "\u003cp\u003efamiliarize contingency personnel with the facility and available resources; and\u003c/p\u003e" + ] + }, + { + "id": "cp-4.2_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-4(2)(b)" + } + ], + "prose": [ + "\u003cp\u003eevaluate the capabilities of the alternate processing site to support contingency operations.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency plan testing\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp\u003econtingency plan test results\u003c/p\u003e", + "\u003cp\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for contingency plan testing\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting the contingency plan and/or contingency plan testing\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-4.3", + "class": "SP800-53-enhancement", + "title": "Automated Testing", + "props": [ + { + "class": "name", + "value": "CP-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to more thoroughly and effectively test the contingency plan.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms provide more thorough and effective testing of contingency plans, for example: (i) by providing more complete coverage of contingency issues; (ii) by selecting more realistic test scenarios and environments; and (iii) by effectively stressing the information system and supported missions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to more thoroughly and effectively test the contingency plan. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency plan testing\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting contingency plan testing\u003c/p\u003e", + "\u003cp\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp\u003econtingency plan test results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan testing responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for contingency plan testing\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting contingency plan testing\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-4.4", + "class": "SP800-53-enhancement", + "title": "Full Recovery / Reconstitution", + "props": [ + { + "class": "name", + "value": "CP-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#cp-10" + }, + { + "rel": "related", + "href": "#sc-24" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-4.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-4(4)[1]" + } + ], + "prose": [ + "\u003cp\u003eincludes a full recovery of the information system to a known state as part of contingency plan testing; and\u003c/p\u003e" + ] + }, + { + "id": "cp-4.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-4(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eincludes a full reconstitution of the information system to a known state as part of contingency plan testing.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system recovery and reconstitution\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp\u003econtingency plan test results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan testing responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system recovery and reconstitution responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for contingency plan testing\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting contingency plan testing\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting recovery and reconstitution of the information system\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cp-5", + "class": "SP800-53", + "title": "Contingency Plan Update", + "links": [ + { + "rel": "related", + "href": "#cp-2" + } + ], + "props": [ + { + "class": "name", + "value": "CP-5" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CP-2\u003c/i\u003e \u003ci\u003eIncorporated into CP-2\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-6", + "class": "SP800-53", + "title": "Alternate Storage Site", + "props": [ + { + "class": "name", + "value": "CP-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-6_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-6a." + } + ], + "prose": [ + "\u003cp\u003eEstablishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and\u003c/p\u003e" + ] + }, + { + "id": "cp-6_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-6b." + } + ], + "prose": [ + "\u003cp\u003eEnsures that the alternate storage site provides information security safeguards equivalent to that of the primary site.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlternate storage sites are sites that are geographically distinct from primary storage sites. An alternate storage site maintains duplicate copies of information and data in the event that the primary storage site is not available. Items covered by alternate storage site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination of delivery/retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#cp-7" + }, + { + "rel": "related", + "href": "#cp-9" + }, + { + "rel": "related", + "href": "#cp-10" + }, + { + "rel": "related", + "href": "#mp-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-6_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-6[1]" + } + ], + "prose": [ + "\u003cp\u003eestablishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and\u003c/p\u003e" + ] + }, + { + "id": "cp-6_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-6[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternate storage sites\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp\u003eprimary storage site agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan alternate storage site responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for storing and retrieving information system backup information at the alternate storage site\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing storage and retrieval of information system backup information at the alternate storage site\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cp-6.1", + "class": "SP800-53-enhancement", + "title": "Separation from Primary Site", + "props": [ + { + "class": "name", + "value": "CP-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThreats that affect alternate storage sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ra-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternate storage sites\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ealternate storage site\u003c/p\u003e", + "\u003cp\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp\u003eprimary storage site agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan alternate storage site responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-6.2", + "class": "SP800-53-enhancement", + "title": "Recovery Time / Point Objectives", + "props": [ + { + "class": "name", + "value": "CP-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time objectives and recovery point objectives (as specified in the information system contingency plan).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternate storage sites\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ealternate storage site\u003c/p\u003e", + "\u003cp\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp\u003ealternate storage site configurations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan testing responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for testing related plans\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for contingency plan testing\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting recovery time/point objectives\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-6.3", + "class": "SP800-53-enhancement", + "title": "Accessibility", + "props": [ + { + "class": "name", + "value": "CP-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eArea-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include, for example: (i) duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites; or (ii) planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ra-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-6.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-6(3)[1]" + } + ], + "prose": [ + "\u003cp\u003eidentifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster; and\u003c/p\u003e" + ] + }, + { + "id": "cp-6.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-6(3)[2]" + } + ], + "prose": [ + "\u003cp\u003eoutlines explicit mitigation actions for such potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternate storage sites\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ealternate storage site\u003c/p\u003e", + "\u003cp\u003elist of potential accessibility problems to alternate storage site\u003c/p\u003e", + "\u003cp\u003emitigation actions for accessibility problems to alternate storage site\u003c/p\u003e", + "\u003cp\u003eorganizational risk assessments\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan alternate storage site responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cp-7", + "class": "SP800-53", + "title": "Alternate Processing Site", + "params": [ + { + "id": "cp-7_prm_1", + "label": "organization-defined information system operations" + }, + { + "id": "cp-7_prm_2", + "label": "organization-defined time period consistent with recovery time and recovery point objectives" + } + ], + "props": [ + { + "class": "name", + "value": "CP-7" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-7_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-7a." + } + ], + "prose": [ + "\u003cp\u003eEstablishes an alternate processing site including necessary agreements to permit the transfer and resumption of \u003cinsert param-id=\"cp-7_prm_1\"/\u003e for essential missions/business functions within \u003cinsert param-id=\"cp-7_prm_2\"/\u003e when the primary processing capabilities are unavailable;\u003c/p\u003e" + ] + }, + { + "id": "cp-7_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-7b." + } + ], + "prose": [ + "\u003cp\u003eEnsures that equipment and supplies required to transfer and resume operations are available at the alternate processing site or contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and\u003c/p\u003e" + ] + }, + { + "id": "cp-7_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-7c." + } + ], + "prose": [ + "\u003cp\u003eEnsures that the alternate processing site provides information security safeguards equivalent to those of the primary site.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability in the event that the primary processing site is not available. Items covered by alternate processing site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination for the transfer/assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#cp-6" + }, + { + "rel": "related", + "href": "#cp-8" + }, + { + "rel": "related", + "href": "#cp-9" + }, + { + "rel": "related", + "href": "#cp-10" + }, + { + "rel": "related", + "href": "#ma-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-7_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-7(a)" + } + ], + "parts": [ + { + "id": "cp-7_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-7(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system operations requiring an alternate processing site to be established to permit the transfer and resumption of such operations;\u003c/p\u003e" + ] + }, + { + "id": "cp-7_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-7(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period consistent with recovery time objectives and recovery point objectives (as specified in the information system contingency plan) for transfer/resumption of organization-defined information system operations for essential missions/business functions;\u003c/p\u003e" + ] + }, + { + "id": "cp-7_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-7(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eestablishes an alternate processing site including necessary agreements to permit the transfer and resumption of organization-defined information system operations for essential missions/business functions, within the organization-defined time period, when the primary processing capabilities are unavailable;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-7_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-7(b)" + } + ], + "parts": [ + { + "id": "cp-7_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-7(b)[1]" + } + ], + "prose": [ + "\u003cp\u003eensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site; or\u003c/p\u003e" + ] + }, + { + "id": "cp-7_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-7(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-7_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-7(c)" + } + ], + "prose": [ + "\u003cp\u003eensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp\u003eprimary processing site agreements\u003c/p\u003e", + "\u003cp\u003espare equipment and supplies inventory at alternate processing site\u003c/p\u003e", + "\u003cp\u003eequipment and supply contracts\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for contingency planning and/or alternate site arrangements\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for recovery at the alternate site\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing recovery at the alternate processing site\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cp-7.1", + "class": "SP800-53-enhancement", + "title": "Separation from Primary Site", + "props": [ + { + "class": "name", + "value": "CP-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization identifies an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThreats that affect alternate processing sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. 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"\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan alternate processing site responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-7.2", + "class": "SP800-53-enhancement", + "title": "Accessibility", + "props": [ + { + "class": "name", + "value": "CP-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eArea-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ra-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-7.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-7(2)[1]" + } + ], + "prose": [ + "\u003cp\u003eidentifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster; and\u003c/p\u003e" + ] + }, + { + "id": "cp-7.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-7(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eoutlines explicit mitigation actions for such potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ealternate processing site\u003c/p\u003e", + "\u003cp\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp\u003eprimary processing site agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan alternate processing site responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-7.3", + "class": "SP800-53-enhancement", + "title": "Priority of Service", + "props": [ + { + "class": "name", + "value": "CP-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePriority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources at the alternate processing site.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan alternate processing site responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for acquisitions/contractual agreements\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-7.4", + "class": "SP800-53-enhancement", + "title": "Preparation for Use", + "props": [ + { + "class": "name", + "value": "CP-7 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSite preparation includes, for example, establishing configuration settings for information system components at the alternate processing site consistent with the requirements for such settings at the primary site and ensuring that essential supplies and other logistical considerations are in place.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#cm-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ealternate processing site\u003c/p\u003e", + "\u003cp\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp\u003ealternate processing site configurations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan alternate processing site responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing recovery at the alternate processing site\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-7.5", + "class": "SP800-53-enhancement", + "title": "Equivalent Information Security Safeguards", + "links": [ + { + "rel": "related", + "href": "#cp-7" + } + ], + "props": [ + { + "class": "name", + "value": "CP-7 (5)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CP-7\u003c/i\u003e \u003ci\u003eIncorporated into CP-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-7.6", + "class": "SP800-53-enhancement", + "title": "Inability to Return to Primary Site", + "props": [ + { + "class": "name", + "value": "CP-7 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization plans and prepares for circumstances that preclude returning to the primary processing site.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization plans and prepares for circumstances that preclude returning to the primary processing site.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternate processing sites\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ealternate processing site\u003c/p\u003e", + "\u003cp\u003ealternate processing site agreements\u003c/p\u003e", + "\u003cp\u003ealternate processing site configurations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system reconstitution responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cp-8", + "class": "SP800-53", + "title": "Telecommunications Services", + "params": [ + { + "id": "cp-8_prm_1", + "label": "organization-defined information system operations" + }, + { + "id": "cp-8_prm_2", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "CP-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization establishes alternate telecommunications services including necessary agreements to permit the resumption of \u003cinsert param-id=\"cp-8_prm_1\"/\u003e for essential missions and business functions within \u003cinsert param-id=\"cp-8_prm_2\"/\u003e when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to telecommunications services (data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions/business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary/alternate sites. Alternate telecommunications services include, for example, additional organizational or commercial ground-based circuits/lines or satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#cp-6" + }, + { + "rel": "related", + "href": "#cp-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-8_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-8[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system operations requiring alternate telecommunications services to be established to permit the resumption of such operations;\u003c/p\u003e" + ] + }, + { + "id": "cp-8_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-8[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period to permit resumption of organization-defined information system operations for essential missions and business functions; and\u003c/p\u003e" + ] + }, + { + "id": "cp-8_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-8[3]" + } + ], + "prose": [ + "\u003cp\u003eestablishes alternate telecommunications services including necessary agreements to permit the resumption of organization-defined information system operations for essential missions and business functions, within the organization-defined time period, when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternate telecommunications services\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan telecommunications responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for acquisitions/contractual agreements\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting telecommunications\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cp-8.1", + "class": "SP800-53-enhancement", + "title": "Priority of Service Provisions", + "props": [ + { + "class": "name", + "value": "CP-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-8.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-8 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eDevelops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives); and\u003c/p\u003e" + ] + }, + { + "id": "cp-8.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-8 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eRequests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider the potential mission/business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-8.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-8(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops primary and alternate telecommunications service agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan); and\u003c/p\u003e" + ] + }, + { + "id": "cp-8.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-8(1)[2]" + } + ], + "prose": [ + "\u003cp\u003erequests Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness in the event that the primary and/or alternate telecommunications services are provided by a common carrier.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing primary and alternate telecommunications services\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp\u003eTelecommunications Service Priority documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan telecommunications responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for acquisitions/contractual agreements\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting telecommunications\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-8.2", + "class": "SP800-53-enhancement", + "title": "Single Points of Failure", + "props": [ + { + "class": "name", + "value": "CP-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing primary and alternate telecommunications services\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan telecommunications responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp\u003eprimary and alternate telecommunications service providers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-8.3", + "class": "SP800-53-enhancement", + "title": "Separation of Primary / Alternate Providers", + "props": [ + { + "class": "name", + "value": "CP-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThreats that affect telecommunications services are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber/physical attacks, and errors of omission/commission. Organizations seek to reduce common susceptibilities by, for example, minimizing shared infrastructure among telecommunications service providers and achieving sufficient geographic separation between services. Organizations may consider using a single service provider in situations where the service provider can provide alternate telecommunications services meeting the separation needs addressed in the risk assessment.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing primary and alternate telecommunications services\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp\u003ealternate telecommunications service provider site\u003c/p\u003e", + "\u003cp\u003eprimary telecommunications service provider site\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency plan telecommunications responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system recovery responsibilities\u003c/p\u003e", + "\u003cp\u003eprimary and alternate telecommunications service providers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-8.4", + "class": "SP800-53-enhancement", + "title": "Provider Contingency Plan", + "params": [ + { + "id": "cp-8.4_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CP-8 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-8.4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-8 (4)(a)" + } + ], + "prose": [ + "\u003cp\u003eRequires primary and alternate telecommunications service providers to have contingency plans;\u003c/p\u003e" + ] + }, + { + "id": "cp-8.4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-8 (4)(b)" + } + ], + "prose": [ + "\u003cp\u003eReviews provider contingency plans to ensure that the plans meet organizational contingency requirements; and\u003c/p\u003e" + ] + }, + { + "id": "cp-8.4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-8 (4)(c)" + } + ], + "prose": [ + "\u003cp\u003eObtains evidence of contingency testing/training by providers \u003cinsert param-id=\"cp-8.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eReviews of provider contingency plans consider the proprietary nature of such plans. In some situations, a summary of provider contingency plans may be sufficient evidence for organizations to satisfy the review requirement. Telecommunications service providers may also participate in ongoing disaster recovery exercises in coordination with the Department of Homeland Security, state, and local governments. Organizations may use these types of activities to satisfy evidentiary requirements related to service provider contingency plan reviews, testing, and training.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-8.4_obj_4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-8(4)(a)" + } + ], + "parts": [ + { + "id": "cp-8.4_obj_4.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-8(4)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003erequires primary telecommunications service provider to have contingency plans;\u003c/p\u003e" + ] + }, + { + "id": "cp-8.4_obj_4.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-8(4)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires alternate telecommunications service provider(s) to have contingency plans;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-8.4_obj_4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-8(4)(b)" + } + ], + "prose": [ + "\u003cp\u003ereviews provider contingency plans to ensure that the plans meet organizational contingency requirements;\u003c/p\u003e" + ] + }, + { + "id": "cp-8.4_obj_4.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-8(4)(c)" + } + ], + "parts": [ + { + "id": "cp-8.4_obj_4.c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-8(4)(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to obtain evidence of contingency testing/training by providers; and\u003c/p\u003e" + ] + }, + { + "id": "cp-8.4_obj_4.c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-8(4)(c)[2]" + } + ], + "prose": [ + "\u003cp\u003eobtains evidence of contingency testing/training by providers with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing primary and alternate telecommunications services\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003eprovider contingency plans\u003c/p\u003e", + "\u003cp\u003eevidence of contingency testing/training by providers\u003c/p\u003e", + "\u003cp\u003eprimary and alternate telecommunications service agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning, plan implementation, and testing responsibilities\u003c/p\u003e", + "\u003cp\u003eprimary and alternate telecommunications service providers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for acquisitions/contractual agreements\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-8.5", + "class": "SP800-53-enhancement", + "title": "Alternate Telecommunication Service Testing", + "params": [ + { + "id": "cp-8.5_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CP-8 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization tests alternate telecommunication services \u003cinsert param-id=\"cp-8.5_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-8.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-8(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to test alternate telecommunication services; and\u003c/p\u003e" + ] + }, + { + "id": "cp-8.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-8(5)[2]" + } + ], + "prose": [ + "\u003cp\u003etests alternate telecommunication services with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternate telecommunications services\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003eevidence of testing alternate telecommunications services\u003c/p\u003e", + "\u003cp\u003ealternate telecommunications service agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning, plan implementation, and testing responsibilities\u003c/p\u003e", + "\u003cp\u003ealternate telecommunications service providers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting testing alternate telecommunications services\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cp-9", + "class": "SP800-53", + "title": "Information System Backup", + "params": [ + { + "id": "cp-9_prm_1", + "label": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "id": "cp-9_prm_2", + "label": "organization-defined frequency consistent with recovery time and recovery point objectives" + }, + { + "id": "cp-9_prm_3", + "label": "organization-defined frequency consistent with recovery time and recovery point objectives" + } + ], + "props": [ + { + "class": "name", + "value": "CP-9" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-9_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-9a." + } + ], + "prose": [ + "\u003cp\u003eConducts backups of user-level information contained in the information system \u003cinsert param-id=\"cp-9_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "cp-9_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-9b." + } + ], + "prose": [ + "\u003cp\u003eConducts backups of system-level information contained in the information system \u003cinsert param-id=\"cp-9_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "cp-9_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-9c." + } + ], + "prose": [ + "\u003cp\u003eConducts backups of information system documentation including security-related documentation \u003cinsert param-id=\"cp-9_prm_3\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "cp-9_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "CP-9d." + } + ], + "prose": [ + "\u003cp\u003eProtects the confidentiality, integrity, and availability of backup information at storage locations.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSystem-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#cp-6" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#mp-5" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-9_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(a)" + } + ], + "parts": [ + { + "id": "cp-9_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of user-level information contained in the information system;\u003c/p\u003e" + ] + }, + { + "id": "cp-9_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(a)[2]" + } + ], + "prose": [ + "\u003cp\u003econducts backups of user-level information contained in the information system with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-9_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(b)" + } + ], + "parts": [ + { + "id": "cp-9_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of system-level information contained in the information system;\u003c/p\u003e" + ] + }, + { + "id": "cp-9_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(b)[2]" + } + ], + "prose": [ + "\u003cp\u003econducts backups of system-level information contained in the information system with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-9_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(c)" + } + ], + "parts": [ + { + "id": "cp-9_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to conduct backups of information system documentation including security-related documentation;\u003c/p\u003e" + ] + }, + { + "id": "cp-9_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(c)[2]" + } + ], + "prose": [ + "\u003cp\u003econducts backups of information system documentation, including security-related documentation, with the organization-defined frequency; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-9_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(d)" + } + ], + "prose": [ + "\u003cp\u003eprotects the confidentiality, integrity, and availability of backup information at storage locations.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ebackup storage location(s)\u003c/p\u003e", + "\u003cp\u003einformation system backup logs or records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for conducting information system backups\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cp-9.1", + "class": "SP800-53-enhancement", + "title": "Testing for Reliability / Integrity", + "params": [ + { + "id": "cp-9.1_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "CP-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization tests backup information \u003cinsert param-id=\"cp-9.1_prm_1\"/\u003e to verify media reliability and information integrity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#cp-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-9.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to test backup information to verify media reliability and information integrity; and\u003c/p\u003e" + ] + }, + { + "id": "cp-9.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(1)[2]" + } + ], + "prose": [ + "\u003cp\u003etests backup information with the organization-defined frequency to verify media reliability and information integrity.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003einformation system backup test results\u003c/p\u003e", + "\u003cp\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp\u003econtingency plan test results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for conducting information system backups\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-9.2", + "class": "SP800-53-enhancement", + "title": "Test Restoration Using Sampling", + "props": [ + { + "class": "name", + "value": "CP-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#cp-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003einformation system backup test results\u003c/p\u003e", + "\u003cp\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp\u003econtingency plan test results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with contingency planning/contingency plan testing responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for conducting information system backups\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-9.3", + "class": "SP800-53-enhancement", + "title": "Separate Storage for Critical Information", + "params": [ + { + "id": "cp-9.3_prm_1", + "label": "organization-defined critical information system software and other security-related information" + } + ], + "props": [ + { + "class": "name", + "value": "CP-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization stores backup copies of \u003cinsert param-id=\"cp-9.3_prm_1\"/\u003e in a separate facility or in a fire-rated container that is not collocated with the operational system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCritical information system software includes, for example, operating systems, cryptographic key management systems, and intrusion detection/prevention systems. Security-related information includes, for example, organizational inventories of hardware, software, and firmware components. Alternate storage sites typically serve as separate storage facilities for organizations.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#cm-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-9.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(3)[1]" + } + ], + "parts": [ + { + "id": "cp-9.3_obj_3.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(3)[1][a]" + } + ], + "prose": [ + "\u003cp\u003edefines critical information system software and other security-related information requiring backup copies to be stored in a separate facility; or\u003c/p\u003e" + ] + }, + { + "id": "cp-9.3_obj_3.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(3)[1][b]" + } + ], + "prose": [ + "\u003cp\u003edefines critical information system software and other security-related information requiring backup copies to be stored in a fire-rated container that is not collocated with the operational system; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-9.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(3)[2]" + } + ], + "prose": [ + "\u003cp\u003estores backup copies of organization-defined critical information system software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the operational system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003ebackup storage location(s)\u003c/p\u003e", + "\u003cp\u003einformation system backup configurations and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system backup logs or records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-9.4", + "class": "SP800-53-enhancement", + "title": "Protection from Unauthorized Modification", + "links": [ + { + "rel": "related", + "href": "#cp-9" + } + ], + "props": [ + { + "class": "name", + "value": "CP-9 (4)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CP-9\u003c/i\u003e \u003ci\u003eIncorporated into CP-9\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-9.5", + "class": "SP800-53-enhancement", + "title": "Transfer to Alternate Storage Site", + "params": [ + { + "id": "cp-9.5_prm_1", + "label": "organization-defined time period and transfer rate consistent with the recovery time and recovery point objectives" + } + ], + "props": [ + { + "class": "name", + "value": "CP-9 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization transfers information system backup information to the alternate storage site \u003cinsert param-id=\"cp-9.5_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-9.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a time period, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site;\u003c/p\u003e" + ] + }, + { + "id": "cp-9.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(5)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines a transfer rate, consistent with recovery time objectives and recovery point objectives as specified in the information system contingency plan, to transfer information system backup information to the alternate storage site; and\u003c/p\u003e" + ] + }, + { + "id": "cp-9.5_obj_5.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(5)[3]" + } + ], + "prose": [ + "\u003cp\u003etransfers information system backup information to the alternate storage site with the organization-defined time period and transfer rate.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003einformation system backup logs or records\u003c/p\u003e", + "\u003cp\u003eevidence of system backup information transferred to alternate storage site\u003c/p\u003e", + "\u003cp\u003ealternate storage site agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for transferring information system backups to the alternate storage site\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing information transfer to the alternate storage site\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-9.6", + "class": "SP800-53-enhancement", + "title": "Redundant Secondary System", + "props": [ + { + "class": "name", + "value": "CP-9 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization accomplishes information system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#cp-7" + }, + { + "rel": "related", + "href": "#cp-10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization accomplishes information system backup by maintaining a redundant secondary system that: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-9.6_obj_6.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(6)[1]" + } + ], + "prose": [ + "\u003cp\u003eis not collocated with the primary system; and\u003c/p\u003e" + ] + }, + { + "id": "cp-9.6_obj_6.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(6)[2]" + } + ], + "prose": [ + "\u003cp\u003ecan be activated without loss of information or disruption to operations.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003einformation system backup test results\u003c/p\u003e", + "\u003cp\u003econtingency plan test results\u003c/p\u003e", + "\u003cp\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp\u003eredundant secondary system for information system backups\u003c/p\u003e", + "\u003cp\u003elocation(s) of redundant secondary backup system(s)\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the redundant secondary system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for maintaining redundant secondary systems\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing information system backups\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing information transfer to a redundant secondary system\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-9.7", + "class": "SP800-53-enhancement", + "title": "Dual Authorization", + "params": [ + { + "id": "cp-9.7_prm_1", + "label": "organization-defined backup information" + } + ], + "props": [ + { + "class": "name", + "value": "CP-9 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization enforces dual authorization for the deletion or destruction of \u003cinsert param-id=\"cp-9.7_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDual authorization ensures that the deletion or destruction of backup information cannot occur unless two qualified individuals carry out the task. Individuals deleting/destroying backup information possess sufficient skills/expertise to determine if the proposed deletion/destruction of backup information reflects organizational policies and procedures. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#mp-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-9.7_obj_7.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(7)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines backup information that requires dual authorization to be enforced for the deletion or destruction of such information; and\u003c/p\u003e" + ] + }, + { + "id": "cp-9.7_obj_7.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-9(7)[2]" + } + ], + "prose": [ + "\u003cp\u003eenforces dual authorization for the deletion or destruction of organization-defined backup information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esystem generated list of dual authorization credentials or rules\u003c/p\u003e", + "\u003cp\u003elogs or records of deletion or destruction of backup information\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system backup responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing dual authorization\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing deletion/destruction of backup information\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cp-10", + "class": "SP800-53", + "title": "Information System Recovery and Reconstitution", + "props": [ + { + "class": "name", + "value": "CP-10" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRecovery is executing information system contingency plan activities to restore organizational missions/business functions. Reconstitution takes place following recovery and includes activities for returning organizational information systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point/time and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim information system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored information system capabilities, reestablishment of continuous monitoring activities, potential information system reauthorizations, and activities to prepare the systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-2" + }, + { + "rel": "related", + "href": "#ca-6" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#cp-6" + }, + { + "rel": "related", + "href": "#cp-7" + }, + { + "rel": "related", + "href": "#cp-9" + }, + { + "rel": "related", + "href": "#sc-24" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization provides for: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-10_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-10[1]" + } + ], + "prose": [ + "\u003cp\u003ethe recovery of the information system to a known state after:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-10_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-10[1][a]" + } + ], + "prose": [ + "\u003cp\u003ea disruption;\u003c/p\u003e" + ] + }, + { + "id": "cp-10_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-10[1][b]" + } + ], + "prose": [ + "\u003cp\u003ea compromise; or\u003c/p\u003e" + ] + }, + { + "id": "cp-10_obj_1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-10[1][c]" + } + ], + "prose": [ + "\u003cp\u003ea failure;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-10_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-10[2]" + } + ], + "prose": [ + "\u003cp\u003ethe reconstitution of the information system to a known state after:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-10_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-10[2][a]" + } + ], + "prose": [ + "\u003cp\u003ea disruption;\u003c/p\u003e" + ] + }, + { + "id": "cp-10_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-10[2][b]" + } + ], + "prose": [ + "\u003cp\u003ea compromise; or\u003c/p\u003e" + ] + }, + { + "id": "cp-10_obj_2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-10[2][c]" + } + ], + "prose": [ + "\u003cp\u003ea failure.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system backup\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003einformation system backup test results\u003c/p\u003e", + "\u003cp\u003econtingency plan test results\u003c/p\u003e", + "\u003cp\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp\u003eredundant secondary system for information system backups\u003c/p\u003e", + "\u003cp\u003elocation(s) of redundant secondary backup system(s)\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning, recovery, and/or reconstitution responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes implementing information system recovery and reconstitution operations\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing information system recovery and reconstitution operations\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "cp-10.1", + "class": "SP800-53-enhancement", + "title": "Contingency Plan Testing", + "links": [ + { + "rel": "related", + "href": "#cp-4" + } + ], + "props": [ + { + "class": "name", + "value": "CP-10 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CP-4\u003c/i\u003e \u003ci\u003eIncorporated into CP-4\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-10.2", + "class": "SP800-53-enhancement", + "title": "Transaction Recovery", + "props": [ + { + "class": "name", + "value": "CP-10 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements transaction recovery for systems that are transaction-based.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTransaction-based information systems include, for example, database management systems and transaction processing systems. Mechanisms supporting transaction recovery include, for example, transaction rollback and transaction journaling.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system implements transaction recovery for systems that are transaction-based. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system recovery and reconstitution\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp\u003econtingency plan test results\u003c/p\u003e", + "\u003cp\u003einformation system transaction recovery records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for transaction recovery\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing transaction recovery capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-10.3", + "class": "SP800-53-enhancement", + "title": "Compensating Security Controls", + "links": [ + { + "href": "", + "value": "Chapter 3" + } + ], + "props": [ + { + "class": "name", + "value": "CP-10 (3)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eAddressed through tailoring procedures\u003c/i\u003e \u003ci\u003eAddressed through tailoring procedures\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-10.4", + "class": "SP800-53-enhancement", + "title": "Restore Within Time Period", + "params": [ + { + "id": "cp-10.4_prm_1", + "label": "organization-defined restoration time-periods" + } + ], + "props": [ + { + "class": "name", + "value": "CP-10 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides the capability to restore information system components within \u003cinsert param-id=\"cp-10.4_prm_1\"/\u003e from configuration-controlled and integrity-protected information representing a known, operational state for the components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRestoration of information system components includes, for example, reimaging which restores components to known, operational states.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-10.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-10(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a time period to restore information system components from configuration-controlled and integrity-protected information representing a known, operational state for the components; and\u003c/p\u003e" + ] + }, + { + "id": "cp-10.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-10(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides the capability to restore information system components within the organization-defined time period from configuration-controlled and integrity-protected information representing a known, operational state for the components.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system recovery and reconstitution\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003econtingency plan test documentation\u003c/p\u003e", + "\u003cp\u003econtingency plan test results\u003c/p\u003e", + "\u003cp\u003eevidence of information system recovery and reconstitution operations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system recovery and reconstitution responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing recovery/reconstitution of information system information\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-10.5", + "class": "SP800-53-enhancement", + "title": "Failover Capability", + "links": [ + { + "rel": "related", + "href": "#si-13" + } + ], + "props": [ + { + "class": "name", + "value": "CP-10 (5)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SI-13\u003c/i\u003e \u003ci\u003eIncorporated into SI-13\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "cp-10.6", + "class": "SP800-53-enhancement", + "title": "Component Protection", + "props": [ + { + "class": "name", + "value": "CP-10 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization protects backup and restoration hardware, firmware, and software.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProtection of backup and restoration hardware, firmware, and software components includes both physical and technical safeguards. Backup and restoration software includes, for example, router tables, compilers, and other security-relevant system software.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#pe-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization protects backup and restoration: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-10.6_obj_6.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-10(6)[1]" + } + ], + "prose": [ + "\u003cp\u003ehardware;\u003c/p\u003e" + ] + }, + { + "id": "cp-10.6_obj_6.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-10(6)[2]" + } + ], + "prose": [ + "\u003cp\u003efirmware; and\u003c/p\u003e" + ] + }, + { + "id": "cp-10.6_obj_6.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-10(6)[3]" + } + ], + "prose": [ + "\u003cp\u003esoftware.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system recovery and reconstitution\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elogical access credentials\u003c/p\u003e", + "\u003cp\u003ephysical access credentials\u003c/p\u003e", + "\u003cp\u003elogical access authorization records\u003c/p\u003e", + "\u003cp\u003ephysical access authorization records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system recovery and reconstitution responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for protecting backup and restoration hardware, firmware, and software\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing protection of backup and restoration hardware, firmware, and software\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "cp-11", + "class": "SP800-53", + "title": "Alternate Communications Protocols", + "params": [ + { + "id": "cp-11_prm_1", + "label": "organization-defined alternative communications protocols" + } + ], + "props": [ + { + "class": "name", + "value": "CP-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides the capability to employ \u003cinsert param-id=\"cp-11_prm_1\"/\u003e in support of maintaining continuity of operations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eContingency plans and the associated training and testing for those plans, incorporate an alternate communications protocol capability as part of increasing the resilience of organizational information systems. Alternate communications protocols include, for example, switching from Transmission Control Protocol/Internet Protocol (TCP/IP) Version 4 to TCP/IP Version 6. Switching communications protocols may affect software applications and therefore, the potential side effects of introducing alternate communications protocols are analyzed prior to implementation.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-11_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-11[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines alternative communications protocols to be employed in support of maintaining continuity of operations; and\u003c/p\u003e" + ] + }, + { + "id": "cp-11_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-11[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides the capability to employ organization-defined alternative communications protocols in support of maintaining continuity of operations.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternative communications protocols\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003econtinuity of operations plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of alternative communications protocols supporting continuity of operations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with continuity of operations planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms employing alternative communications protocols\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-12", + "class": "SP800-53", + "title": "Safe Mode", + "params": [ + { + "id": "cp-12_prm_1", + "label": "organization-defined conditions" + }, + { + "id": "cp-12_prm_2", + "label": "organization-defined restrictions of safe mode of operation" + } + ], + "props": [ + { + "class": "name", + "value": "CP-12" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system, when \u003cinsert param-id=\"cp-12_prm_1\"/\u003e are detected, enters a safe mode of operation with \u003cinsert param-id=\"cp-12_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor information systems supporting critical missions/business functions including, for example, military operations and weapons systems, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments), organizations may choose to identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated automatically or manually, restricts the types of activities or operations information systems could execute when those conditions are encountered. Restriction includes, for example, allowing only certain functions that could be carried out under limited power or with reduced communications bandwidth.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-12_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-12[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines conditions that, when detected, requires the information system to enter a safe mode of operation;\u003c/p\u003e" + ] + }, + { + "id": "cp-12_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-12[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines restrictions of safe mode of operation; and\u003c/p\u003e" + ] + }, + { + "id": "cp-12_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-12[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system, when organization-defined conditions are detected, enters a safe mode of operation with organization-defined restrictions of safe mode of operation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing safe mode of operation for the information system\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system administration manuals\u003c/p\u003e", + "\u003cp\u003einformation system operation manuals\u003c/p\u003e", + "\u003cp\u003einformation system installation manuals\u003c/p\u003e", + "\u003cp\u003econtingency plan test records\u003c/p\u003e", + "\u003cp\u003eincident handling records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing safe mode of operation\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "cp-13", + "class": "SP800-53", + "title": "Alternative Security Mechanisms", + "params": [ + { + "id": "cp-13_prm_1", + "label": "organization-defined alternative or supplemental security mechanisms" + }, + { + "id": "cp-13_prm_2", + "label": "organization-defined security functions" + } + ], + "props": [ + { + "class": "name", + "value": "CP-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"cp-13_prm_1\"/\u003e for satisfying \u003cinsert param-id=\"cp-13_prm_2\"/\u003e when the primary means of implementing the security function is unavailable or compromised.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control supports information system resiliency and contingency planning/continuity of operations. To ensure mission/business continuity, organizations can implement alternative or supplemental security mechanisms. These mechanisms may be less effective than the primary mechanisms (e.g., not as easy to use, not as scalable, or not as secure). However, having the capability to readily employ these alternative/supplemental mechanisms enhances overall mission/business continuity that might otherwise be adversely impacted if organizational operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, this control would typically be applied only to critical security capabilities provided by information systems, system components, or information system services. For example, an organization may issue to senior executives and system administrators one-time pads in case multifactor tokens, the organization’s standard means for secure remote authentication, is compromised.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "cp-13_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-13[1]" + } + ], + "prose": [ + "\u003cp\u003edefines alternative or supplemental security mechanisms to be employed when the primary means of implementing the security function is unavailable or compromised;\u003c/p\u003e" + ] + }, + { + "id": "cp-13_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-13[2]" + } + ], + "prose": [ + "\u003cp\u003edefines security functions to be satisfied using organization-defined alternative or supplemental security mechanisms when the primary means of implementing the security function is unavailable or compromised; and\u003c/p\u003e" + ] + }, + { + "id": "cp-13_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "CP-13[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined alternative or supplemental security mechanisms satisfying organization-defined security functions when the primary means of implementing the security function is unavailable or compromised.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternate security mechanisms\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003econtinuity of operations plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003econtingency plan test records\u003c/p\u003e", + "\u003cp\u003econtingency plan test results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system capability implementing alternative security mechanisms\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "Identification and Authentication", + "controls": [ + { + "id": "ia-1", + "class": "SP800-53", + "title": "Identification and Authentication Policy and Procedures", + "params": [ + { + "id": "ia-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "ia-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "ia-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IA-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ia-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-1a.1." + } + ], + "prose": [ + "\u003cp\u003eAn identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "ia-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-1b.1." + } + ], + "prose": [ + "\u003cp\u003eIdentification and authentication policy \u003cinsert param-id=\"ia-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ia-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-1b.2." + } + ], + "prose": [ + "\u003cp\u003eIdentification and authentication procedures \u003cinsert param-id=\"ia-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)" + } + ], + "parts": [ + { + "id": "ia-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents an identification and authentication policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "ia-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "ia-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "ia-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "ia-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "ia-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "ia-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the identification and authentication policy is to be disseminated; and\u003c/p\u003e" + ] + }, + { + "id": "ia-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the identification and authentication policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(2)" + } + ], + "parts": [ + { + "id": "ia-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls;\u003c/p\u003e" + ] + }, + { + "id": "ia-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "ia-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(b)(1)" + } + ], + "parts": [ + { + "id": "ia-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current identification and authentication policy;\u003c/p\u003e" + ] + }, + { + "id": "ia-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current identification and authentication policy with the organization-defined frequency; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(b)(2)" + } + ], + "parts": [ + { + "id": "ia-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current identification and authentication procedures; and\u003c/p\u003e" + ] + }, + { + "id": "ia-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current identification and authentication procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with identification and authentication responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ia-2", + "class": "SP800-53", + "title": "Identification and Authentication (organizational Users)", + "props": [ + { + "class": "name", + "value": "IA-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational users include employees or individuals that organizations deem to have equivalent status of employees (e.g., contractors, guest researchers). This control applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC-14; and (ii) accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations employ passwords, tokens, or biometrics to authenticate user identities, or in the case multifactor authentication, or some combination thereof. Access to organizational information systems is defined as either local access or network access. Local access is any access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained by direct connections without the use of networks. Network access is access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks (e.g., the Internet). Internal networks include local area networks and wide area networks. In addition, the use of encrypted virtual private networks (VPNs) for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks from the perspective of protecting the confidentiality and integrity of information traversing the network. Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12 consistent with the specific organizational implementation plans. Multifactor authentication requires the use of two or more different factors to achieve authentication. The factors are defined as: (i) something you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g., cryptographic identification device, token); or (iii) something you are (e.g., biometric). Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card. In addition to identifying and authenticating users at the information system level (i.e., at logon), organizations also employ identification and authentication mechanisms at the application level, when necessary, to provide increased information security. Identification and authentication requirements for other than organizational users are described in IA-8.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-14" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#ia-4" + }, + { + "rel": "related", + "href": "#ia-5" + }, + { + "rel": "related", + "href": "#ia-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003elist of information system accounts\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for uniquely identifying and authenticating users\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ia-2.1", + "class": "SP800-53-enhancement", + "title": "Network Access to Privileged Accounts", + "props": [ + { + "class": "name", + "value": "IA-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements multifactor authentication for network access to privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ac-6" + } + ] + }, + { + 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Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system implements replay-resistant authentication mechanisms for network access to privileged accounts. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003elist of privileged information system accounts\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing replay resistant authentication mechanisms\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-2.9", + "class": "SP800-53-enhancement", + "title": "Network Access to Non-privileged Accounts - Replay Resistant", + "props": [ + { + "class": "name", + "value": "IA-2 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthentication processes resist replay attacks if it is impractical to achieve successful authentications by recording/replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003elist of non-privileged information system accounts\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing replay resistant authentication mechanisms\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-2.10", + "class": "SP800-53-enhancement", + "title": "Single Sign-on", + "params": [ + { + "id": "ia-2.10_prm_1", + "label": "organization-defined information system accounts and services" + } + ], + "props": [ + { + "class": "name", + "value": "IA-2 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides a single sign-on capability for \u003cinsert param-id=\"ia-2.10_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSingle sign-on enables users to log in once and gain access to multiple information system resources. Organizations consider the operational efficiencies provided by single sign-on capabilities with the increased risk from disclosures of single authenticators providing access to multiple system resources.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-2.10_obj_10.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-2(10)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines a list of information system accounts and services for which a single sign-on capability must be provided; and\u003c/p\u003e" + ] + }, + { + "id": "ia-2.10_obj_10.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-2(10)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides a single sign-on capability for organization-defined information system accounts and services.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing single sign-on capability for information system accounts and services\u003c/p\u003e", + "\u003cp\u003eprocedures addressing identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003elist of information system accounts and services requiring single sign-on capability\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing single sign-on capability for information system accounts and services\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-2.11", + "class": "SP800-53-enhancement", + "title": "Remote Access - Separate Device", + "params": [ + { + "id": "ia-2.11_prm_1", + "label": "organization-defined strength of mechanism requirements" + } + ], + "props": [ + { + "class": "name", + "value": "IA-2 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements multifactor authentication for remote access to privileged and non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets \u003cinsert param-id=\"ia-2.11_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor remote access to privileged/non-privileged accounts, the purpose of requiring a device that is separate from the information system gaining access for one of the factors during multifactor authentication is to reduce the likelihood of compromising authentication credentials stored on the system. For example, adversaries deploying malicious code on organizational information systems can potentially compromise such credentials resident on the system and subsequently impersonate authorized users.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-2.11_obj_11.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-2(11)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements multifactor authentication for remote access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access;\u003c/p\u003e" + ] + }, + { + "id": "ia-2.11_obj_11.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-2(11)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements multifactor authentication for remote access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access;\u003c/p\u003e" + ] + }, + { + "id": "ia-2.11_obj_11.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-2(11)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to privileged accounts;\u003c/p\u003e" + ] + }, + { + "id": "ia-2.11_obj_11.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-2(11)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines strength of mechanism requirements to be enforced by a device separate from the system gaining remote access to non-privileged accounts;\u003c/p\u003e" + ] + }, + { + "id": "ia-2.11_obj_11.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-2(11)[5]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements multifactor authentication for remote access to privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements; and\u003c/p\u003e" + ] + }, + { + "id": "ia-2.11_obj_11.6", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-2(11)[6]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements multifactor authentication for remote access to non-privileged accounts such that a device, separate from the system gaining access, meets organization-defined strength of mechanism requirements.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003elist of privileged and non-privileged information system accounts\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-2.12", + "class": "SP800-53-enhancement", + "title": "Acceptance of PIV Credentials", + "props": [ + { + "class": "name", + "value": "IA-2 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system accepts and electronically verifies Personal Identity Verification (PIV) credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to organizations implementing logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#sa-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-2.12_obj_12.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-2(12)[1]" + } + ], + "prose": [ + "\u003cp\u003eaccepts Personal Identity Verification (PIV) credentials; and\u003c/p\u003e" + ] + }, + { + "id": "ia-2.12_obj_12.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-2(12)[2]" + } + ], + "prose": [ + "\u003cp\u003eelectronically verifies Personal Identity Verification (PIV) credentials.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003ePIV verification records\u003c/p\u003e", + "\u003cp\u003eevidence of PIV credentials\u003c/p\u003e", + "\u003cp\u003ePIV credential authorizations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing acceptance and verification of PIV credentials\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-2.13", + "class": "SP800-53-enhancement", + "title": "Out-of-band Authentication", + "params": [ + { + "id": "ia-2.13_prm_1", + "label": "organization-defined out-of-band authentication" + }, + { + "id": "ia-2.13_prm_2", + "label": "organization-defined conditions" + } + ], + "props": [ + { + "class": "name", + "value": "IA-2 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements \u003cinsert param-id=\"ia-2.13_prm_1\"/\u003e under \u003cinsert param-id=\"ia-2.13_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOut-of-band authentication (OOBA) refers to the use of two separate communication paths to identify and authenticate users or devices to an information system. The first path (i.e., the in-band path), is used to identify and authenticate users or devices, and generally is the path through which information flows. The second path (i.e., the out-of-band path) is used to independently verify the authentication and/or requested action. For example, a user authenticates via a notebook computer to a remote server to which the user desires access, and requests some action of the server via that communication path. Subsequently, the server contacts the user via the user’s cell phone to verify that the requested action originated from the user. The user may either confirm the intended action to an individual on the telephone or provide an authentication code via the telephone. This type of authentication can be employed by organizations to mitigate actual or suspected man-in the-middle attacks. The conditions for activation can include, for example, suspicious activities, new threat indicators or elevated threat levels, or the impact level or classification level of information in requested transactions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ia-10" + }, + { + "rel": "related", + "href": "#ia-11" + }, + { + "rel": "related", + "href": "#sc-37" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-2.13_obj_13.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-2(13)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines out-of-band authentication to be implemented by the information system;\u003c/p\u003e" + ] + }, + { + "id": "ia-2.13_obj_13.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-2(13)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines conditions under which the information system implements organization-defined out-of-band authentication; and\u003c/p\u003e" + ] + }, + { + "id": "ia-2.13_obj_13.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-2(13)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements organization-defined out-of-band authentication under organization-defined conditions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003esystem-generated list of out-of-band authentication paths\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing out-of-band authentication capability\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ia-3", + "class": "SP800-53", + "title": "Device Identification and Authentication", + "params": [ + { + "id": "ia-3_prm_1", + "label": "organization-defined specific and/or types of devices" + }, + { + "id": "ia-3_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "local" + }, + { + "assignments": null, + "Value": "remote" + }, + { + "assignments": null, + "Value": "network" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "IA-3" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system uniquely identifies and authenticates \u003cinsert param-id=\"ia-3_prm_1\"/\u003e before establishing a \u003cinsert param-id=\"ia-3_prm_2\"/\u003e connection.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational devices requiring unique device-to-device identification and authentication may be defined by type, by device, or by a combination of type/device. Information systems typically use either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on local and/or wide area networks. Organizations determine the required strength of authentication mechanisms by the security categories of information systems. Because of the challenges of applying this control on large scale, organizations are encouraged to only apply the control to those limited number (and type) of devices that truly need to support this capability.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#ca-3" + }, + { + "rel": "related", + "href": "#ia-4" + }, + { + "rel": "related", + "href": "#ia-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-3_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines specific and/or types of devices that the information system uniquely identifies and authenticates before establishing one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-3_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3[1][a]" + } + ], + "prose": [ + "\u003cp\u003ea local connection;\u003c/p\u003e" + ] + }, + { + "id": "ia-3_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3[1][b]" + } + ], + "prose": [ + "\u003cp\u003ea remote connection; and/or\u003c/p\u003e" + ] + }, + { + "id": "ia-3_obj_1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3[1][c]" + } + ], + "prose": [ + "\u003cp\u003ea network connection; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-3_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system uniquely identifies and authenticates organization-defined devices before establishing one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-3_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3[2][a]" + } + ], + "prose": [ + "\u003cp\u003ea local connection;\u003c/p\u003e" + ] + }, + { + "id": "ia-3_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3[2][b]" + } + ], + "prose": [ + "\u003cp\u003ea remote connection; and/or\u003c/p\u003e" + ] + }, + { + "id": "ia-3_obj_2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3[2][c]" + } + ], + "prose": [ + "\u003cp\u003ea network connection.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing device identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003elist of devices requiring unique identification and authentication\u003c/p\u003e", + "\u003cp\u003edevice connection reports\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with operational responsibilities for device identification and authentication\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing device identification and authentication capability\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ia-3.1", + "class": "SP800-53-enhancement", + "title": "Cryptographic Bidirectional Authentication", + "params": [ + { + "id": "ia-3.1_prm_1", + "label": "organization-defined specific devices and/or types of devices" + }, + { + "id": "ia-3.1_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "local" + }, + { + "assignments": null, + "Value": "remote" + }, + { + "assignments": null, + "Value": "network" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "IA-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system authenticates \u003cinsert param-id=\"ia-3.1_prm_1\"/\u003e before establishing \u003cinsert param-id=\"ia-3.1_prm_2\"/\u003e connection using bidirectional authentication that is cryptographically based.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA local connection is any connection with a device communicating without the use of a network. A network connection is any connection with a device that communicates through a network (e.g., local area or wide area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk (e.g., remote connections).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-8" + }, + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-3.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines specific and/or types of devices requiring use of cryptographically based, bidirectional authentication to authenticate before establishing one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-3.1_obj_1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003ea local connection;\u003c/p\u003e" + ] + }, + { + "id": "ia-3.1_obj_1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003ea remote connection; and/or\u003c/p\u003e" + ] + }, + { + "id": "ia-3.1_obj_1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003ea network connection;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-3.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system uses cryptographically based bidirectional authentication to authenticate organization-defined devices before establishing one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-3.1_obj_1.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(1)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ea local connection;\u003c/p\u003e" + ] + }, + { + "id": "ia-3.1_obj_1.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(1)[2][b]" + } + ], + "prose": [ + "\u003cp\u003ea remote connection; and/or\u003c/p\u003e" + ] + }, + { + "id": "ia-3.1_obj_1.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(1)[2][c]" + } + ], + "prose": [ + "\u003cp\u003ea network connection.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing device identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003elist of devices requiring unique identification and authentication\u003c/p\u003e", + "\u003cp\u003edevice connection reports\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with operational responsibilities for device identification and authentication\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing device authentication capability\u003c/p\u003e", + "\u003cp\u003ecryptographically based bidirectional authentication mechanisms\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-3.2", + "class": "SP800-53-enhancement", + "title": "Cryptographic Bidirectional Network Authentication", + "links": [ + { + "rel": "related", + "href": "#ia-3.1" + } + ], + "props": [ + { + "class": "name", + "value": "IA-3 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into IA-3 (1)\u003c/i\u003e \u003ci\u003eIncorporated into IA-3 (1)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-3.3", + "class": "SP800-53-enhancement", + "title": "Dynamic Address Allocation", + "params": [ + { + "id": "ia-3.3_prm_1", + "label": "organization-defined lease information and lease duration" + } + ], + "props": [ + { + "class": "name", + "value": "IA-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-3.3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-3 (3)(a)" + } + ], + "prose": [ + "\u003cp\u003eStandardizes dynamic address allocation lease information and the lease duration assigned to devices in accordance with \u003cinsert param-id=\"ia-3.3_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ia-3.3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-3 (3)(b)" + } + ], + "prose": [ + "\u003cp\u003eAudits lease information when assigned to a device.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDHCP-enabled clients obtaining leases for IP addresses from DHCP servers, is a typical example of dynamic address allocation for devices.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-3" + }, + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#au-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-3.3_obj_3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)" + } + ], + "parts": [ + { + "id": "ia-3.3_obj_3.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines lease information to be employed to standardize dynamic address allocation for devices;\u003c/p\u003e" + ] + }, + { + "id": "ia-3.3_obj_3.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines lease duration to be employed to standardize dynamic address allocation for devices;\u003c/p\u003e" + ] + }, + { + "id": "ia-3.3_obj_3.a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)[3]" + } + ], + "prose": [ + "\u003cp\u003estandardizes dynamic address allocation of lease information assigned to devices in accordance with organization-defined lease information;\u003c/p\u003e" + ] + }, + { + "id": "ia-3.3_obj_3.a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(3)(a)[4]" + } + ], + "prose": [ + "\u003cp\u003estandardizes dynamic address allocation of the lease duration assigned to devices in accordance with organization-defined lease duration; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-3.3_obj_3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(3)(b)" + } + ], + "prose": [ + "\u003cp\u003eaudits lease information when assigned to a device.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing device identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eevidence of lease information and lease duration assigned to devices\u003c/p\u003e", + "\u003cp\u003edevice connection reports\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with operational responsibilities for device identification and authentication\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing device identification and authentication capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing dynamic address allocation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implanting auditing of lease information\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-3.4", + "class": "SP800-53-enhancement", + "title": "Device Attestation", + "params": [ + { + "id": "ia-3.4_prm_1", + "label": "organization-defined configuration management process" + } + ], + "props": [ + { + "class": "name", + "value": "IA-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that device identification and authentication based on attestation is handled by \u003cinsert param-id=\"ia-3.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevice attestation refers to the identification and authentication of a device based on its configuration and known operating state. This might be determined via some cryptographic hash of the device. If device attestation is the means of identification and authentication, then it is important that patches and updates to the device are handled via a configuration management process such that the those patches/updates are done securely and at the same time do not disrupt the identification and authentication to other devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-3.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines configuration management process to be employed to handle device identification and authentication based on attestation; and\u003c/p\u003e" + ] + }, + { + "id": "ia-3.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-3(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that device identification and authentication based on attestation is handled by organization-defined configuration management process.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing device identification and authentication\u003c/p\u003e", + "\u003cp\u003eprocedures addressing device configuration management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003econfiguration management records\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with operational responsibilities for device identification and authentication\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing device identification and authentication capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing configuration management\u003c/p\u003e", + "\u003cp\u003ecryptographic mechanisms supporting device attestation\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ia-4", + "class": "SP800-53", + "title": "Identifier Management", + "params": [ + { + "id": "ia-4_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "ia-4_prm_2", + "label": "organization-defined time period" + }, + { + "id": "ia-4_prm_3", + "label": "organization-defined time period of inactivity" + } + ], + "props": [ + { + "class": "name", + "value": "IA-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization manages information system identifiers by:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-4a." + } + ], + "prose": [ + "\u003cp\u003eReceiving authorization from \u003cinsert param-id=\"ia-4_prm_1\"/\u003e to assign an individual, group, role, or device identifier;\u003c/p\u003e" + ] + }, + { + "id": "ia-4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-4b." + } + ], + "prose": [ + "\u003cp\u003eSelecting an identifier that identifies an individual, group, role, or device;\u003c/p\u003e" + ] + }, + { + "id": "ia-4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-4c." + } + ], + "prose": [ + "\u003cp\u003eAssigning the identifier to the intended individual, group, role, or device;\u003c/p\u003e" + ] + }, + { + "id": "ia-4_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-4d." + } + ], + "prose": [ + "\u003cp\u003ePreventing reuse of identifiers for \u003cinsert param-id=\"ia-4_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ia-4_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-4e." + } + ], + "prose": [ + "\u003cp\u003eDisabling the identifier after \u003cinsert param-id=\"ia-4_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCommon device identifiers include, for example, media access control (MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). Typically, individual identifiers are the user names of the information system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. This control also addresses individual identifiers not necessarily associated with information system accounts (e.g., identifiers used in physical security control databases accessed by badge reader systems for access to information systems). Preventing reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ia-2" + }, + { + "rel": "related", + "href": "#ia-3" + }, + { + "rel": "related", + "href": "#ia-5" + }, + { + "rel": "related", + "href": "#ia-8" + }, + { + "rel": "related", + "href": "#sc-37" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization manages information system identifiers by: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-4_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(a)" + } + ], + "parts": [ + { + "id": "ia-4_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefining personnel or roles from whom authorization must be received to assign:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-4_obj_a.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(a)[1][a]" + } + ], + "prose": [ + "\u003cp\u003ean individual identifier;\u003c/p\u003e" + ] + }, + { + "id": "ia-4_obj_a.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(a)[1][b]" + } + ], + "prose": [ + "\u003cp\u003ea group identifier;\u003c/p\u003e" + ] + }, + { + "id": "ia-4_obj_a.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(a)[1][c]" + } + ], + "prose": [ + "\u003cp\u003ea role identifier; and/or\u003c/p\u003e" + ] + }, + { + "id": "ia-4_obj_a.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(a)[1][d]" + } + ], + "prose": [ + "\u003cp\u003ea device identifier;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-4_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ereceiving authorization from organization-defined personnel or roles to assign:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-4_obj_a.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(a)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ean individual identifier;\u003c/p\u003e" + ] + }, + { + "id": "ia-4_obj_a.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(a)[2][b]" + } + ], + "prose": [ + "\u003cp\u003ea group identifier;\u003c/p\u003e" + ] + }, + { + "id": "ia-4_obj_a.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(a)[2][c]" + } + ], + "prose": [ + "\u003cp\u003ea role identifier; and/or\u003c/p\u003e" + ] + }, + { + "id": "ia-4_obj_a.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(a)[2][d]" + } + ], + "prose": [ + "\u003cp\u003ea device identifier;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-4_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(b)" + } + ], + "prose": [ + "\u003cp\u003eselecting an identifier that identifies:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-4_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ean individual;\u003c/p\u003e" + ] + }, + { + "id": "ia-4_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ea group;\u003c/p\u003e" + ] + }, + { + "id": "ia-4_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(b)[3]" + } + ], + "prose": [ + "\u003cp\u003ea role; and/or\u003c/p\u003e" + ] + }, + { + "id": "ia-4_obj_b.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(b)[4]" + } + ], + "prose": [ + "\u003cp\u003ea device;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-4_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(c)" + } + ], + "prose": [ + "\u003cp\u003eassigning the identifier to the intended:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-4_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(c)[1]" + } + ], + "prose": [ + "\u003cp\u003eindividual;\u003c/p\u003e" + ] + }, + { + "id": "ia-4_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(c)[2]" + } + ], + "prose": [ + "\u003cp\u003egroup;\u003c/p\u003e" + ] + }, + { + "id": "ia-4_obj_c.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(c)[3]" + } + ], + "prose": [ + "\u003cp\u003erole; and/or\u003c/p\u003e" + ] + }, + { + "id": "ia-4_obj_c.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(c)[4]" + } + ], + "prose": [ + "\u003cp\u003edevice;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-4_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(d)" + } + ], + "parts": [ + { + "id": "ia-4_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edefining a time period for preventing reuse of identifiers;\u003c/p\u003e" + ] + }, + { + "id": "ia-4_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(d)[2]" + } + ], + "prose": [ + "\u003cp\u003epreventing reuse of identifiers for the organization-defined time period;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-4_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(e)" + } + ], + "parts": [ + { + "id": "ia-4_obj_e.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(e)[1]" + } + ], + "prose": [ + "\u003cp\u003edefining a time period of inactivity to disable the identifier; and\u003c/p\u003e" + ] + }, + { + "id": "ia-4_obj_e.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(e)[2]" + } + ], + "prose": [ + "\u003cp\u003edisabling the identifier after the organization-defined time period of inactivity.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of information system accounts\u003c/p\u003e", + "\u003cp\u003elist of identifiers generated from physical access control devices\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ia-4.1", + "class": "SP800-53-enhancement", + "title": "Prohibit Account Identifiers as Public Identifiers", + "props": [ + { + "class": "name", + "value": "IA-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProhibiting the use of information systems account identifiers that are the same as some public identifier such as the individual identifier section of an electronic mail address, makes it more difficult for adversaries to guess user identifiers on organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-4.2", + "class": "SP800-53-enhancement", + "title": "Supervisor Authorization", + "props": [ + { + "class": "name", + "value": "IA-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires that the registration process to receive an individual identifier includes supervisor authorization.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires that the registration process to receive an individual identifier includes supervisor authorization. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp\u003esupervisors responsible for authorizing identifier registration\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-4.3", + "class": "SP800-53-enhancement", + "title": "Multiple Forms of Certification", + "props": [ + { + "class": "name", + "value": "IA-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires multiple forms of certification of individual identification be presented to the registration authority.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRequiring multiple forms of identification, such as documentary evidence or a combination of documents and biometrics, reduces the likelihood of individuals using fraudulent identification to establish an identity, or at least increases the work factor of potential adversaries.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires multiple forms of certification of individual identification such as documentary evidence or a combination of documents and biometrics be presented to the registration authority.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-4.4", + "class": "SP800-53-enhancement", + "title": "Identify User Status", + "params": [ + { + "id": "ia-4.4_prm_1", + "label": "organization-defined characteristic identifying individual status" + } + ], + "props": [ + { + "class": "name", + "value": "IA-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization manages individual identifiers by uniquely identifying each individual as \u003cinsert param-id=\"ia-4.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCharacteristics identifying the status of individuals include, for example, contractors and foreign nationals. Identifying the status of individuals by specific characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-4.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a characteristic to be used to identify individual status; and\u003c/p\u003e" + ] + }, + { + "id": "ia-4.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(4)[2]" + } + ], + "prose": [ + "\u003cp\u003emanages individual identifiers by uniquely identifying each individual as the organization-defined characteristic identifying individual status.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003elist of characteristics identifying individual status\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-4.5", + "class": "SP800-53-enhancement", + "title": "Dynamic Management", + "props": [ + { + "class": "name", + "value": "IA-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system dynamically manages identifiers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn contrast to conventional approaches to identification which presume static accounts for preregistered users, many distributed information systems including, for example, service-oriented architectures, rely on establishing identifiers at run time for entities that were previously unknown. In these situations, organizations anticipate and provision for the dynamic establishment of identifiers. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system dynamically manages identifiers. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing dynamic identifier management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-4.6", + "class": "SP800-53-enhancement", + "title": "Cross-organization Management", + "params": [ + { + "id": "ia-4.6_prm_1", + "label": "organization-defined external organizations" + } + ], + "props": [ + { + "class": "name", + "value": "IA-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization coordinates with \u003cinsert param-id=\"ia-4.6_prm_1\"/\u003e for cross-organization management of identifiers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCross-organization identifier management provides the capability for organizations to appropriately identify individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-4.6_obj_6.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(6)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines external organizations with whom to coordinate cross-organization management of identifiers; and\u003c/p\u003e" + ] + }, + { + "id": "ia-4.6_obj_6.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-4(6)[2]" + } + ], + "prose": [ + "\u003cp\u003ecoordinates with organization-defined external organizations for cross-organization management of identifiers.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identifier management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-4.7", + "class": "SP800-53-enhancement", + "title": "In-person Registration", + "props": [ + { + "class": "name", + "value": "IA-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn-person registration reduces the likelihood of fraudulent identifiers being issued because it requires the physical presence of individuals and actual face-to-face interactions with designated registration authorities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ia-5", + "class": "SP800-53", + "title": "Authenticator Management", + "params": [ + { + "id": "ia-5_prm_1", + "label": "organization-defined time period by authenticator type" + } + ], + "props": [ + { + "class": "name", + "value": "IA-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization manages information system authenticators by:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5a." + } + ], + "prose": [ + "\u003cp\u003eVerifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5b." + } + ], + "prose": [ + "\u003cp\u003eEstablishing initial authenticator content for authenticators defined by the organization;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5c." + } + ], + "prose": [ + "\u003cp\u003eEnsuring that authenticators have sufficient strength of mechanism for their intended use;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5d." + } + ], + "prose": [ + "\u003cp\u003eEstablishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5e." + } + ], + "prose": [ + "\u003cp\u003eChanging default content of authenticators prior to information system installation;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_smt_f", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5f." + } + ], + "prose": [ + "\u003cp\u003eEstablishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_smt_g", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5g." + } + ], + "prose": [ + "\u003cp\u003eChanging/refreshing authenticators \u003cinsert param-id=\"ia-5_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_smt_h", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5h." + } + ], + "prose": [ + "\u003cp\u003eProtecting authenticator content from unauthorized disclosure and modification;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_smt_i", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5i." + } + ], + "prose": [ + "\u003cp\u003eRequiring individuals to take, and having devices implement, specific security safeguards to protect authenticators; and\u003c/p\u003e" + ] + }, + { + "id": "ia-5_smt_j", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5j." + } + ], + "prose": [ + "\u003cp\u003eChanging authenticators for group/role accounts when membership to those accounts changes.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndividual authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). In many cases, developers ship information system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored within organizational information systems (e.g., passwords stored in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with administrator privileges). Information systems support individual authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Specific actions that can be taken to safeguard authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing individual authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#ia-2" + }, + { + "rel": "related", + "href": "#ia-4" + }, + { + "rel": "related", + "href": "#ia-8" + }, + { + "rel": "related", + "href": "#pl-4" + }, + { + "rel": "related", + "href": "#ps-5" + }, + { + "rel": "related", + "href": "#ps-6" + }, + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + }, + { + "rel": "related", + "href": "#sc-17" + }, + { + "rel": "related", + "href": "#sc-28" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization manages information system authenticators by: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(a)" + } + ], + "prose": [ + "\u003cp\u003everifying, as part of the initial authenticator distribution, the identity of:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe individual receiving the authenticator;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe group receiving the authenticator;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(a)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe role receiving the authenticator; and/or\u003c/p\u003e" + ] + }, + { + "id": "ia-5_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(a)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe device receiving the authenticator;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-5_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(b)" + } + ], + "prose": [ + "\u003cp\u003eestablishing initial authenticator content for authenticators defined by the organization;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(c)" + } + ], + "prose": [ + "\u003cp\u003eensuring that authenticators have sufficient strength of mechanism for their intended use;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(d)" + } + ], + "parts": [ + { + "id": "ia-5_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(d)[1]" + } + ], + "prose": [ + "\u003cp\u003eestablishing and implementing administrative procedures for initial authenticator distribution;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(d)[2]" + } + ], + "prose": [ + "\u003cp\u003eestablishing and implementing administrative procedures for lost/compromised or damaged authenticators;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_obj_d.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(d)[3]" + } + ], + "prose": [ + "\u003cp\u003eestablishing and implementing administrative procedures for revoking authenticators;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-5_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(e)" + } + ], + "prose": [ + "\u003cp\u003echanging default content of authenticators prior to information system installation;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_obj_f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(f)" + } + ], + "parts": [ + { + "id": "ia-5_obj_f.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(f)[1]" + } + ], + "prose": [ + "\u003cp\u003eestablishing minimum lifetime restrictions for authenticators;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_obj_f.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(f)[2]" + } + ], + "prose": [ + "\u003cp\u003eestablishing maximum lifetime restrictions for authenticators;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_obj_f.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(f)[3]" + } + ], + "prose": [ + "\u003cp\u003eestablishing reuse conditions for authenticators;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-5_obj_g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(g)" + } + ], + "parts": [ + { + "id": "ia-5_obj_g.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(g)[1]" + } + ], + "prose": [ + "\u003cp\u003edefining a time period (by authenticator type) for changing/refreshing authenticators;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_obj_g.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(g)[2]" + } + ], + "prose": [ + "\u003cp\u003echanging/refreshing authenticators with the organization-defined time period by authenticator type;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-5_obj_h", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(h)" + } + ], + "prose": [ + "\u003cp\u003eprotecting authenticator content from unauthorized:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5_obj_h.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(h)[1]" + } + ], + "prose": [ + "\u003cp\u003edisclosure;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_obj_h.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(h)[2]" + } + ], + "prose": [ + "\u003cp\u003emodification;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-5_obj_i", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(i)" + } + ], + "parts": [ + { + "id": "ia-5_obj_i.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(i)[1]" + } + ], + "prose": [ + "\u003cp\u003erequiring individuals to take specific security safeguards to protect authenticators;\u003c/p\u003e" + ] + }, + { + "id": "ia-5_obj_i.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(i)[2]" + } + ], + "prose": [ + "\u003cp\u003ehaving devices implement specific security safeguards to protect authenticators; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-5_obj_j", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(j)" + } + ], + "prose": [ + "\u003cp\u003echanging authenticators for group/role accounts when membership to those accounts changes.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of information system authenticator types\u003c/p\u003e", + "\u003cp\u003echange control records associated with managing information system authenticators\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ia-5.1", + "class": "SP800-53-enhancement", + "title": "Password-based Authentication", + "params": [ + { + "id": "ia-5.1_prm_1", + "label": "organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type" + }, + { + "id": "ia-5.1_prm_2", + "label": "organization-defined number" + }, + { + "id": "ia-5.1_prm_3", + "label": "organization-defined numbers for lifetime minimum, lifetime maximum" + }, + { + "id": "ia-5.1_prm_4", + "label": "organization-defined number" + } + ], + "props": [ + { + "class": "name", + "value": "IA-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system, for password-based authentication:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eEnforces minimum password complexity of \u003cinsert param-id=\"ia-5.1_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eEnforces at least the following number of changed characters when new passwords are created: \u003cinsert param-id=\"ia-5.1_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5 (1)(c)" + } + ], + "prose": [ + "\u003cp\u003eStores and transmits only cryptographically-protected passwords;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5 (1)(d)" + } + ], + "prose": [ + "\u003cp\u003eEnforces password minimum and maximum lifetime restrictions of \u003cinsert param-id=\"ia-5.1_prm_3\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5 (1)(e)" + } + ], + "prose": [ + "\u003cp\u003eProhibits password reuse for \u003cinsert param-id=\"ia-5.1_prm_4\"/\u003e generations; and\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_smt_f", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5 (1)(f)" + } + ], + "prose": [ + "\u003cp\u003eAllows the use of a temporary password for system logons with an immediate change to a permanent password.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to single-factor authentication of individuals using passwords as individual or group authenticators, and in a similar manner, when passwords are part of multifactor authenticators. This control enhancement does not apply when passwords are used to unlock hardware authenticators (e.g., Personal Identity Verification cards). The implementation of such password mechanisms may not meet all of the requirements in the enhancement. Cryptographically-protected passwords include, for example, encrypted versions of passwords and one-way cryptographic hashes of passwords. The number of changed characters refers to the number of changes required with respect to the total number of positions in the current password. Password lifetime restrictions do not apply to temporary passwords. To mitigate certain brute force attacks against passwords, organizations may also consider salting passwords.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ia-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if, for password-based authentication: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)" + } + ], + "parts": [ + { + "id": "ia-5.1_obj_1.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines requirements for case sensitivity;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_obj_1.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines requirements for number of characters;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_obj_1.a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines requirements for the mix of upper-case letters, lower-case letters, numbers and special characters;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_obj_1.a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines minimum requirements for each type of character;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_obj_1.a.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(a)[5]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces minimum password complexity of organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-5.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(b)" + } + ], + "parts": [ + { + "id": "ia-5.1_obj_1.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines a minimum number of changed characters to be enforced when new passwords are created;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_obj_1.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces at least the organization-defined minimum number of characters that must be changed when new passwords are created;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-5.1_obj_1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(c)" + } + ], + "prose": [ + "\u003cp\u003ethe information system stores and transmits only encrypted representations of passwords;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_obj_1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)" + } + ], + "parts": [ + { + "id": "ia-5.1_obj_1.d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines numbers for password minimum lifetime restrictions to be enforced for passwords;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_obj_1.d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines numbers for password maximum lifetime restrictions to be enforced for passwords;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_obj_1.d.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces password minimum lifetime restrictions of organization-defined numbers for lifetime minimum;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_obj_1.d.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(d)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces password maximum lifetime restrictions of organization-defined numbers for lifetime maximum;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-5.1_obj_1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(e)" + } + ], + "parts": [ + { + "id": "ia-5.1_obj_1.e.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(e)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the number of password generations to be prohibited from password reuse;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.1_obj_1.e.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(e)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system prohibits password reuse for the organization-defined number of generations; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-5.1_obj_1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(1)(f)" + } + ], + "prose": [ + "\u003cp\u003ethe information system allows the use of a temporary password for system logons with an immediate change to a permanent password.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003epassword policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003epassword configurations and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing password-based authenticator management capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-5.2", + "class": "SP800-53-enhancement", + "title": "Pki-based Authentication", + "props": [ + { + "class": "name", + "value": "IA-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system, for PKI-based authentication:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5 (2)(a)" + } + ], + "prose": [ + "\u003cp\u003eValidates certifications by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5 (2)(b)" + } + ], + "prose": [ + "\u003cp\u003eEnforces authorized access to the corresponding private key;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5 (2)(c)" + } + ], + "prose": [ + "\u003cp\u003eMaps the authenticated identity to the account of the individual or group; and\u003c/p\u003e" + ] + }, + { + "id": "ia-5.2_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "IA-5 (2)(d)" + } + ], + "prose": [ + "\u003cp\u003eImplements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eStatus information for certification paths includes, for example, certificate revocation lists or certificate status protocol responses. For PIV cards, validation of certifications involves the construction and verification of a certification path to the Common Policy Root trust anchor including certificate policy processing.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ia-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system, for PKI-based authentication: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.2_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(2)(a)" + } + ], + "parts": [ + { + "id": "ia-5.2_obj_2.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(2)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003evalidates certifications by constructing a certification path to an accepted trust anchor;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.2_obj_2.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(2)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003evalidates certifications by verifying a certification path to an accepted trust anchor;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.2_obj_2.a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(2)(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eincludes checking certificate status information when constructing and verifying the certification path;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-5.2_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(2)(b)" + } + ], + "prose": [ + "\u003cp\u003eenforces authorized access to the corresponding private key;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.2_obj_2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(2)(c)" + } + ], + "prose": [ + "\u003cp\u003emaps the authenticated identity to the account of the individual or group; and\u003c/p\u003e" + ] + }, + { + "id": "ia-5.2_obj_2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(2)(d)" + } + ], + "prose": [ + "\u003cp\u003eimplements a local cache of revocation data to support path discovery and validation in case of inability to access revocation information via the network.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ePKI certification validation records\u003c/p\u003e", + "\u003cp\u003ePKI certification revocation lists\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with PKI-based, authenticator management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing PKI-based, authenticator management capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-5.3", + "class": "SP800-53-enhancement", + "title": "In-person or Trusted Third-party Registration", + "params": [ + { + "id": "ia-5.3_prm_1", + "label": "organization-defined types of and/or specific authenticators" + }, + { + "id": "ia-5.3_prm_2", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "in person" + }, + { + "assignments": null, + "Value": "by a trusted third party" + } + ] + } + }, + { + "id": "ia-5.3_prm_3", + "label": "organization-defined registration authority" + }, + { + "id": "ia-5.3_prm_4", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "IA-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires that the registration process to receive \u003cinsert param-id=\"ia-5.3_prm_1\"/\u003e be conducted \u003cinsert param-id=\"ia-5.3_prm_2\"/\u003e before \u003cinsert param-id=\"ia-5.3_prm_3\"/\u003e with authorization by \u003cinsert param-id=\"ia-5.3_prm_4\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines types of and/or specific authenticators to be received in person or by a trusted third party;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the registration authority with oversight of the registration process for receipt of organization-defined types of and/or specific authenticators;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(3)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles responsible for authorizing organization-defined registration authority;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.3_obj_3.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(3)[4]" + } + ], + "prose": [ + "\u003cp\u003edefines if the registration process is to be conducted:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.3_obj_3.4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(3)[4][a]" + } + ], + "prose": [ + "\u003cp\u003ein person; or\u003c/p\u003e" + ] + }, + { + "id": "ia-5.3_obj_3.4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(3)[4][b]" + } + ], + "prose": [ + "\u003cp\u003eby a trusted third party; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ia-5.3_obj_3.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(3)[5]" + } + ], + "prose": [ + "\u003cp\u003erequires that the registration process to receive organization-defined types of and/or specific authenticators be conducted in person or by a trusted third party before organization-defined registration authority with authorization by organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp\u003eregistration process for receiving information system authenticators\u003c/p\u003e", + "\u003cp\u003elist of authenticators requiring in-person registration\u003c/p\u003e", + "\u003cp\u003elist of authenticators requiring trusted third party registration\u003c/p\u003e", + "\u003cp\u003eauthenticator registration documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp\u003eregistration authority\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-5.4", + "class": "SP800-53-enhancement", + "title": "Automated Support for Password Strength Determination", + "params": [ + { + "id": "ia-5.4_prm_1", + "label": "organization-defined requirements" + } + ], + "props": [ + { + "class": "name", + "value": "IA-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated tools to determine if password authenticators are sufficiently strong to satisfy \u003cinsert param-id=\"ia-5.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on the creation of strong passwords and the characteristics of such passwords (e.g., complexity) prior to use, the enforcement of which is carried out by organizational information systems in IA-5 (1).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-2" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#ra-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines requirements to be satisfied by password authenticators; and\u003c/p\u003e" + ] + }, + { + "id": "ia-5.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys automated tools to determine if password authenticators are sufficiently strong to satisfy organization-defined requirements.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eautomated tools for evaluating password authenticators\u003c/p\u003e", + "\u003cp\u003epassword strength assessment results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing password-based authenticator management capability\u003c/p\u003e", + "\u003cp\u003eautomated tools for determining password strength\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-5.5", + "class": "SP800-53-enhancement", + "title": "Change Authenticators Prior to Delivery", + "props": [ + { + "class": "name", + "value": "IA-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires developers/installers of information system components to provide unique authenticators or change default authenticators prior to delivery/installation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement extends the requirement for organizations to change default authenticators upon information system installation, by requiring developers and/or installers to provide unique authenticators or change default authenticators for system components prior to delivery and/or installation. However, it typically does not apply to the developers of commercial off-the-shelve information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring information systems or system components.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires developers/installers of information system components to: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(5)[1]" + } + ], + "prose": [ + "\u003cp\u003eprovide unique authenticators prior to delivery/installation; or\u003c/p\u003e" + ] + }, + { + "id": "ia-5.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(5)[2]" + } + ], + "prose": [ + "\u003cp\u003echange default authenticators prior to delivery/installation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003esystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for information system procurements or services\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system security, acquisition, and contracting responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-5.6", + "class": "SP800-53-enhancement", + "title": "Protection of Authenticators", + "props": [ + { + "class": "name", + "value": "IA-5 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor information systems containing multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp\u003esecurity categorization documentation for the information system\u003c/p\u003e", + "\u003cp\u003esecurity assessments of authenticator protections\u003c/p\u003e", + "\u003cp\u003erisk assessment results\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel implementing and/or maintaining authenticator protections\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms protecting authenticators\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-5.7", + "class": "SP800-53-enhancement", + "title": "No Embedded Unencrypted Static Authenticators", + "props": [ + { + "class": "name", + "value": "IA-5 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization ensures that unencrypted static authenticators are not: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.7_obj_7.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(7)[1]" + } + ], + "prose": [ + "\u003cp\u003eembedded in applications;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.7_obj_7.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(7)[2]" + } + ], + "prose": [ + "\u003cp\u003eembedded in access scripts; or\u003c/p\u003e" + ] + }, + { + "id": "ia-5.7_obj_7.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(7)[3]" + } + ], + "prose": [ + "\u003cp\u003estored on function keys.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elogical access scripts\u003c/p\u003e", + "\u003cp\u003eapplication code reviews for detecting unencrypted static authenticators\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing authentication in applications\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-5.8", + "class": "SP800-53-enhancement", + "title": "Multiple Information System Accounts", + "params": [ + { + "id": "ia-5.8_prm_1", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "IA-5 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements \u003cinsert param-id=\"ia-5.8_prm_1\"/\u003e to manage the risk of compromise due to individuals having accounts on multiple information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhen individuals have accounts on multiple information systems, there is the risk that the compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Possible alternatives include, for example: (i) having different authenticators on all systems; (ii) employing some form of single sign-on mechanism; or (iii) including some form of one-time passwords on all systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.8_obj_8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(8)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems; and\u003c/p\u003e" + ] + }, + { + "id": "ia-5.8_obj_8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(8)[2]" + } + ], + "prose": [ + "\u003cp\u003eimplements organization-defined security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003elist of individuals having accounts on multiple information systems\u003c/p\u003e", + "\u003cp\u003elist of security safeguards intended to manage risk of compromise due to individuals having accounts on multiple information systems\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing safeguards for authenticator management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-5.9", + "class": "SP800-53-enhancement", + "title": "Cross-organization Credential Management", + "params": [ + { + "id": "ia-5.9_prm_1", + "label": "organization-defined external organizations" + } + ], + "props": [ + { + "class": "name", + "value": "IA-5 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization coordinates with \u003cinsert param-id=\"ia-5.9_prm_1\"/\u003e for cross-organization management of credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCross-organization management of credentials provides the capability for organizations to appropriately authenticate individuals, groups, roles, or devices when conducting cross-organization activities involving the processing, storage, or transmission of information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.9_obj_9.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(9)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines external organizations with whom to coordinate cross-organizational management of credentials; and\u003c/p\u003e" + ] + }, + { + "id": "ia-5.9_obj_9.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(9)[2]" + } + ], + "prose": [ + "\u003cp\u003ecoordinates with organization-defined external organizations for cross-organizational management of credentials.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp\u003eprocedures addressing account management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation security agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing safeguards for authenticator management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-5.10", + "class": "SP800-53-enhancement", + "title": "Dynamic Credential Association", + "props": [ + { + "class": "name", + "value": "IA-5 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system dynamically provisions identities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthentication requires some form of binding between an identity and the authenticator used to confirm the identity. In conventional approaches, this binding is established by pre-provisioning both the identity and the authenticator to the information system. For example, the binding between a username (i.e., identity) and a password (i.e., authenticator) is accomplished by provisioning the identity and authenticator as a pair in the information system. New authentication techniques allow the binding between the identity and the authenticator to be implemented outside an information system. For example, with smartcard credentials, the identity and the authenticator are bound together on the card. Using these credentials, information systems can authenticate identities that have not been pre-provisioned, dynamically provisioning the identity after authentication. In these situations, organizations can anticipate the dynamic provisioning of identities. Preestablished trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system dynamically provisions identifiers.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms providing dynamic binding of identifiers and authenticators\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with identifier management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing identifier management capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing dynamic provisioning of identifiers\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-5.11", + "class": "SP800-53-enhancement", + "title": "Hardware Token-based Authentication", + "params": [ + { + "id": "ia-5.11_prm_1", + "label": "organization-defined token quality requirements" + } + ], + "props": [ + { + "class": "name", + "value": "IA-5 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system, for hardware token-based authentication, employs mechanisms that satisfy \u003cinsert param-id=\"ia-5.11_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHardware token-based authentication typically refers to the use of PKI-based tokens, such as the U.S. Government Personal Identity Verification (PIV) card. Organizations define specific requirements for tokens, such as working with a particular PKI.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if, for hardware token-based authentication: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.11_obj_11.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(11)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines token quality requirements to be satisfied; and\u003c/p\u003e" + ] + }, + { + "id": "ia-5.11_obj_11.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(11)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system employs mechanisms that satisfy organization-defined token quality requirements.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms employing hardware token-based authentication for the information system\u003c/p\u003e", + "\u003cp\u003elist of token quality requirements\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing hardware token-based authenticator management capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-5.12", + "class": "SP800-53-enhancement", + "title": "Biometric-based Authentication", + "params": [ + { + "id": "ia-5.12_prm_1", + "label": "organization-defined biometric quality requirements" + } + ], + "props": [ + { + "class": "name", + "value": "IA-5 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system, for biometric-based authentication, employs mechanisms that satisfy \u003cinsert param-id=\"ia-5.12_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnlike password-based authentication which provides exact matches of user-input passwords to stored passwords, biometric authentication does not provide such exact matches. Depending upon the type of biometric and the type of collection mechanism, there is likely to be some divergence from the presented biometric and stored biometric which serves as the basis of comparison. There will likely be both false positives and false negatives when making such comparisons. The rate at which the false accept and false reject rates are equal is known as the crossover rate. Biometric quality requirements include, for example, acceptable crossover rates, as that essentially reflects the accuracy of the biometric.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if, for biometric-based authentication: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.12_obj_12.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(12)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines biometric quality requirements to be satisfied; and\u003c/p\u003e" + ] + }, + { + "id": "ia-5.12_obj_12.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(12)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system employs mechanisms that satisfy organization-defined biometric quality requirements.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms employing biometric-based authentication for the information system\u003c/p\u003e", + "\u003cp\u003elist of biometric quality requirements\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing biometric-based authenticator management capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-5.13", + "class": "SP800-53-enhancement", + "title": "Expiration of Cached Authenticators", + "params": [ + { + "id": "ia-5.13_prm_1", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "IA-5 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system prohibits the use of cached authenticators after \u003cinsert param-id=\"ia-5.13_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.13_obj_13.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(13)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the time period after which the information system is to prohibit the use of cached authenticators; and\u003c/p\u003e" + ] + }, + { + "id": "ia-5.13_obj_13.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(13)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system prohibits the use of cached authenticators after the organization-defined time period.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing authenticator management capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-5.14", + "class": "SP800-53-enhancement", + "title": "Managing Content of PKI Trust Stores", + "props": [ + { + "class": "name", + "value": "IA-5 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including networks, operating systems, browsers, and applications.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-5.14_obj_14.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(14)[1]" + } + ], + "prose": [ + "\u003cp\u003enetworks;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.14_obj_14.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(14)[2]" + } + ], + "prose": [ + "\u003cp\u003eoperating systems;\u003c/p\u003e" + ] + }, + { + "id": "ia-5.14_obj_14.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(14)[3]" + } + ], + "prose": [ + "\u003cp\u003ebrowsers; and\u003c/p\u003e" + ] + }, + { + "id": "ia-5.14_obj_14.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-5(14)[4]" + } + ], + "prose": [ + "\u003cp\u003eapplications.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eorganizational methodology for managing content of PKI trust stores across installed all platforms\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eenterprise security architecture documentation\u003c/p\u003e", + "\u003cp\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with authenticator management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing PKI-based authenticator management capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the PKI trust store capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-5.15", + "class": "SP800-53-enhancement", + "title": "Ficam-approved Products and Services", + "props": [ + { + "class": "name", + "value": "IA-5 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization uses only FICAM-approved path discovery and validation products and services.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFederal Identity, Credential, and Access Management (FICAM)-approved path discovery and validation products and services are those products and services that have been approved through the FICAM conformance program, where applicable.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization uses only FICAM-approved path discovery and validation products and services.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing identifier management\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms providing dynamic binding of identifiers and authenticators\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with identification and authentication management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing account management capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing identification and authentication management capability for the information system\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ia-6", + "class": "SP800-53", + "title": "Authenticator Feedback", + "props": [ + { + "class": "name", + "value": "IA-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe feedback from information systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of information systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (often referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be less significant, and may need to be balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is selected accordingly. Obscuring the feedback of authentication information includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-18" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing authenticator feedback\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-7", + "class": "SP800-53", + "title": "Cryptographic Module Authentication", + "props": [ + { + "class": "name", + "value": "IA-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAuthentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing cryptographic module authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for cryptographic module authentication\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing cryptographic module authentication\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ia-8", + "class": "SP800-53", + "title": "Identification and Authentication (non-organizational Users)", + "props": [ + { + "class": "name", + "value": "IA-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNon-organizational users include information system users other than organizational users explicitly covered by IA-2. These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations use risk assessments to determine authentication needs and consider scalability, practicality, and security in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk. IA-2 addresses identification and authentication requirements for access to information systems by organizational users.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-14" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#ia-2" + }, + { + "rel": "related", + "href": "#ia-4" + }, + { + "rel": "related", + "href": "#ia-5" + }, + { + "rel": "related", + "href": "#ma-4" + }, + { + "rel": "related", + "href": "#ra-3" + }, + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#sc-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003elist of information system accounts\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ia-8.1", + "class": "SP800-53-enhancement", + "title": "Acceptance of PIV Credentials from Other Agencies", + "props": [ + { + "class": "name", + "value": "IA-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system accepts and electronically verifies Personal Identity Verification (PIV) credentials from other federal agencies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#sa-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-8.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-8(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eaccepts Personal Identity Verification (PIV) credentials from other agencies; and\u003c/p\u003e" + ] + }, + { + "id": "ia-8.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-8(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eelectronically verifies Personal Identity Verification (PIV) credentials from other agencies.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003ePIV verification records\u003c/p\u003e", + "\u003cp\u003eevidence of PIV credentials\u003c/p\u003e", + "\u003cp\u003ePIV credential authorizations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms that accept and verify PIV credentials\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-8.2", + "class": "SP800-53-enhancement", + "title": "Acceptance of Third-party Credentials", + "props": [ + { + "class": "name", + "value": "IA-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system accepts only FICAM-approved third-party credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement typically applies to organizational information systems that are accessible to the general public, for example, public-facing websites. Third-party credentials are those credentials issued by nonfederal government entities approved by the Federal Identity, Credential, and Access Management (FICAM) Trust Framework Solutions initiative. Approved third-party credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. This allows federal government relying parties to trust such credentials at their approved assurance levels.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system accepts only FICAM-approved third-party credentials. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003elist of FICAM-approved, third-party credentialing products, components, or services procured and implemented by organization\u003c/p\u003e", + "\u003cp\u003ethird-party credential verification records\u003c/p\u003e", + "\u003cp\u003eevidence of FICAM-approved third-party credentials\u003c/p\u003e", + "\u003cp\u003ethird-party credential authorizations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms that accept FICAM-approved credentials\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-8.3", + "class": "SP800-53-enhancement", + "title": "Use of Ficam-approved Products", + "params": [ + { + "id": "ia-8.3_prm_1", + "label": "organization-defined information systems" + } + ], + "props": [ + { + "class": "name", + "value": "IA-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs only FICAM-approved information system components in \u003cinsert param-id=\"ia-8.3_prm_1\"/\u003e to accept third-party credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement typically applies to information systems that are accessible to the general public, for example, public-facing websites. FICAM-approved information system components include, for example, information technology products and software libraries that have been approved by the Federal Identity, Credential, and Access Management conformance program.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-8.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-8(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information systems in which only FICAM-approved information system components are to be employed to accept third-party credentials; and\u003c/p\u003e" + ] + }, + { + "id": "ia-8.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-8(3)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys only FICAM-approved information system components in organization-defined information systems to accept third-party credentials.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003esystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003ethird-party credential validations\u003c/p\u003e", + "\u003cp\u003ethird-party credential authorizations\u003c/p\u003e", + "\u003cp\u003ethird-party credential records\u003c/p\u003e", + "\u003cp\u003elist of FICAM-approved information system components procured and implemented by organization\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for information system procurements or services\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system security, acquisition, and contracting responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-8.4", + "class": "SP800-53-enhancement", + "title": "Use of Ficam-issued Profiles", + "props": [ + { + "class": "name", + "value": "IA-8 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system conforms to FICAM-issued profiles.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses open identity management standards. To ensure that these standards are viable, robust, reliable, sustainable (e.g., available in commercial information technology products), and interoperable as documented, the United States Government assesses and scopes identity management standards and technology implementations against applicable federal legislation, directives, policies, and requirements. The result is FICAM-issued implementation profiles of approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute Exchange).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system conforms to FICAM-issued profiles. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003esystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003elist of FICAM-issued profiles and associated, approved protocols\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for information system procurements or services\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing conformance with FICAM-issued profiles\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-8.5", + "class": "SP800-53-enhancement", + "title": "Acceptance of PIV-I Credentials", + "props": [ + { + "class": "name", + "value": "IA-8 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system accepts and electronically verifies Personal Identity Verification-I (PIV-I) credentials.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement: (i) applies to logical and physical access control systems; and (ii) addresses Non-Federal Issuers (NFIs) of identity cards that desire to interoperate with United States Government Personal Identity Verification (PIV) information systems and that can be trusted by federal government-relying parties. The X.509 certificate policy for the Federal Bridge Certification Authority (FBCA) addresses PIV-I requirements. The PIV-I card is suitable for Assurance Level 4 as defined in OMB Memorandum 04-04 and NIST Special Publication 800-63, and multifactor authentication as defined in NIST Special Publication 800-116. PIV-I credentials are those credentials issued by a PIV-I provider whose PIV-I certificate policy maps to the Federal Bridge PIV-I Certificate Policy. A PIV-I provider is cross-certified (directly or through another PKI bridge) with the FBCA with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-8.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-8(5)[1]" + } + ], + "prose": [ + "\u003cp\u003eaccepts Personal Identity Verification-I (PIV-I) credentials; and\u003c/p\u003e" + ] + }, + { + "id": "ia-8.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-8(5)[2]" + } + ], + "prose": [ + "\u003cp\u003eelectronically verifies Personal Identity Verification-I (PIV-I) credentials.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user identification and authentication\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003ePIV-I verification records\u003c/p\u003e", + "\u003cp\u003eevidence of PIV-I credentials\u003c/p\u003e", + "\u003cp\u003ePIV-I credential authorizations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms that accept and verify PIV-I credentials\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ia-9", + "class": "SP800-53", + "title": "Service Identification and Authentication", + "params": [ + { + "id": "ia-9_prm_1", + "label": "organization-defined information system services" + }, + { + "id": "ia-9_prm_2", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "IA-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization identifies and authenticates \u003cinsert param-id=\"ia-9_prm_1\"/\u003e using \u003cinsert param-id=\"ia-9_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control supports service-oriented architectures and other distributed architectural approaches requiring the identification and authentication of information system services. In such architectures, external services often appear dynamically. Therefore, information systems should be able to determine in a dynamic manner, if external providers and associated services are authentic. Safeguards implemented by organizational information systems to validate provider and service authenticity include, for example, information or code signing, provenance graphs, and/or electronic signatures indicating or including the sources of services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-9_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-9[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system services to be identified and authenticated using security safeguards;\u003c/p\u003e" + ] + }, + { + "id": "ia-9_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-9[2]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be used to identify and authenticate organization-defined information system services; and\u003c/p\u003e" + ] + }, + { + "id": "ia-9_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-9[3]" + } + ], + "prose": [ + "\u003cp\u003eidentifies and authenticates organization-defined information system services using organization-defined security safeguards.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing service identification and authentication\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003esecurity safeguards used to identify and authenticate information system services\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with identification and authentication responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity safeguards implementing service identification and authentication capability\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ia-9.1", + "class": "SP800-53-enhancement", + "title": "Information Exchange", + "props": [ + { + "class": "name", + "value": "IA-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that service providers receive, validate, and transmit identification and authentication information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization ensures that service providers: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-9.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-9(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ereceive identification and authentication information;\u003c/p\u003e" + ] + }, + { + "id": "ia-9.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-9(1)[2]" + } + ], + "prose": [ + "\u003cp\u003evalidate identification and authentication information; and\u003c/p\u003e" + ] + }, + { + "id": "ia-9.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-9(1)[3]" + } + ], + "prose": [ + "\u003cp\u003etransmit identification and authentication information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing service identification and authentication\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with identification and authentication responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eservice providers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing service identification and authentication capabilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-9.2", + "class": "SP800-53-enhancement", + "title": "Transmission of Decisions", + "params": [ + { + "id": "ia-9.2_prm_1", + "label": "organization-defined services" + } + ], + "props": [ + { + "class": "name", + "value": "IA-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that identification and authentication decisions are transmitted between \u003cinsert param-id=\"ia-9.2_prm_1\"/\u003e consistent with organizational policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor distributed architectures (e.g., service-oriented architectures), the decisions regarding the validation of identification and authentication claims may be made by services separate from the services acting on those decisions. In such situations, it is necessary to provide the identification and authentication decisions (as opposed to the actual identifiers and authenticators) to the services that need to act on those decisions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-9.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-9(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines services for which identification and authentication decisions transmitted between such services are to be consistent with organizational policies; and\u003c/p\u003e" + ] + }, + { + "id": "ia-9.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-9(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that identification and authentication decisions are transmitted between organization-defined services consistent with organizational policies.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing service identification and authentication\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003etransmission records\u003c/p\u003e", + "\u003cp\u003etransmission verification records\u003c/p\u003e", + "\u003cp\u003erules for identification and authentication transmission decisions between organizational services\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with identification and authentication responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing service identification and authentication capabilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ia-10", + "class": "SP800-53", + "title": "Adaptive Identification and Authentication", + "params": [ + { + "id": "ia-10_prm_1", + "label": "organization-defined supplemental authentication techniques or mechanisms" + }, + { + "id": "ia-10_prm_2", + "label": "organization-defined circumstances or situations" + } + ], + "props": [ + { + "class": "name", + "value": "IA-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires that individuals accessing the information system employ \u003cinsert param-id=\"ia-10_prm_1\"/\u003e under specific \u003cinsert param-id=\"ia-10_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAdversaries may compromise individual authentication mechanisms and subsequently attempt to impersonate legitimate users. This situation can potentially occur with any authentication mechanisms employed by organizations. To address this threat, organizations may employ specific techniques/mechanisms and establish protocols to assess suspicious behavior (e.g., individuals accessing information that they do not typically access as part of their normal duties, roles, or responsibilities, accessing greater quantities of information than the individuals would routinely access, or attempting to access information from suspicious network addresses). In these situations when certain preestablished conditions or triggers occur, organizations can require selected individuals to provide additional authentication information. Another potential use for adaptive identification and authentication is to increase the strength of mechanism based on the number and/or types of records being accessed.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-10_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-10[1]" + } + ], + "prose": [ + "\u003cp\u003edefines specific circumstances or situations that require individuals accessing the information system to employ supplemental authentication techniques or mechanisms;\u003c/p\u003e" + ] + }, + { + "id": "ia-10_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-10[2]" + } + ], + "prose": [ + "\u003cp\u003edefines supplemental authentication techniques or mechanisms to be employed when accessing the information system under specific organization-defined circumstances or situations; and\u003c/p\u003e" + ] + }, + { + "id": "ia-10_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-10[3]" + } + ], + "prose": [ + "\u003cp\u003erequires that individuals accessing the information system employ organization-defined supplemental authentication techniques or mechanisms under specific organization-defined circumstances or situations.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing adaptive/ supplemental identification and authentication techniques or mechanisms\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esupplemental identification and authentication techniques or mechanisms\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with identification and authentication responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ia-11", + "class": "SP800-53", + "title": "Re-authentication", + "params": [ + { + "id": "ia-11_prm_1", + "label": "organization-defined circumstances or situations requiring re-authentication" + } + ], + "props": [ + { + "class": "name", + "value": "IA-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires users and devices to re-authenticate when \u003cinsert param-id=\"ia-11_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn addition to the re-authentication requirements associated with session locks, organizations may require re-authentication of individuals and/or devices in other situations including, for example: (i) when authenticators change; (ii), when roles change; (iii) when security categories of information systems change; (iv), when the execution of privileged functions occurs; (v) after a fixed period of time; or (vi) periodically.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ia-11_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-11[1]" + } + ], + "prose": [ + "\u003cp\u003edefines circumstances or situations requiring re-authentication;\u003c/p\u003e" + ] + }, + { + "id": "ia-11_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-11[2]" + } + ], + "prose": [ + "\u003cp\u003erequires users to re-authenticate when organization-defined circumstances or situations require re-authentication; and\u003c/p\u003e" + ] + }, + { + "id": "ia-11_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IA-11[3]" + } + ], + "prose": [ + "\u003cp\u003erequires devices to re-authenticate when organization-defined circumstances or situations require re-authentication.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIdentification and authentication policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing user and device re-authentication\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of circumstances or situations requiring re-authentication\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system operations responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with identification and authentication responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing identification and authentication capability\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "Incident Response", + "controls": [ + { + "id": "ir-1", + "class": "SP800-53", + "title": "Incident Response Policy and Procedures", + "params": [ + { + "id": "ir-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "ir-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "ir-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IR-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ir-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-1a.1." + } + ], + "prose": [ + "\u003cp\u003eAn incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "ir-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the incident response policy and associated incident response controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-1b.1." + } + ], + "prose": [ + "\u003cp\u003eIncident response policy \u003cinsert param-id=\"ir-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ir-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-1b.2." + } + ], + "prose": [ + "\u003cp\u003eIncident response procedures \u003cinsert param-id=\"ir-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)" + } + ], + "parts": [ + { + "id": "ir-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents an incident response policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "ir-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "ir-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "ir-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "ir-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "ir-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "ir-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the incident response policy is to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "ir-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the incident response policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(2)" + } + ], + "parts": [ + { + "id": "ir-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the incident response policy and associated incident response controls;\u003c/p\u003e" + ] + }, + { + "id": "ir-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "ir-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(b)(1)" + } + ], + "parts": [ + { + "id": "ir-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current incident response policy;\u003c/p\u003e" + ] + }, + { + "id": "ir-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current incident response policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(b)(2)" + } + ], + "parts": [ + { + "id": "ir-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current incident response procedures; and\u003c/p\u003e" + ] + }, + { + "id": "ir-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current incident response procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ir-2", + "class": "SP800-53", + "title": "Incident Response Training", + "params": [ + { + "id": "ir-2_prm_1", + "label": "organization-defined time period" + }, + { + "id": "ir-2_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IR-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides incident response training to information system users consistent with assigned roles and responsibilities:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-2a." + } + ], + "prose": [ + "\u003cp\u003eWithin \u003cinsert param-id=\"ir-2_prm_1\"/\u003e of assuming an incident response role or responsibility;\u003c/p\u003e" + ] + }, + { + "id": "ir-2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-2b." + } + ], + "prose": [ + "\u003cp\u003eWhen required by information system changes; and\u003c/p\u003e" + ] + }, + { + "id": "ir-2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-2c." + } + ], + "prose": [ + "\u003cp\u003e \u003cinsert param-id=\"ir-2_prm_2\"/\u003e thereafter.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncident response training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, regular users may only need to know who to call or how to recognize an incident on the information system; system administrators may require additional training on how to handle/remediate incidents; and incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#cp-3" + }, + { + "rel": "related", + "href": "#ir-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-2_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-2(a)" + } + ], + "parts": [ + { + "id": "ir-2_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-2(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a time period within which incident response training is to be provided to information system users assuming an incident response role or responsibility;\u003c/p\u003e" + ] + }, + { + "id": "ir-2_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-2(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides incident response training to information system users consistent with assigned roles and responsibilities within the organization-defined time period of assuming an incident response role or responsibility;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-2_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-2(b)" + } + ], + "prose": [ + "\u003cp\u003eprovides incident response training to information system users consistent with assigned roles and responsibilities when required by information system changes;\u003c/p\u003e" + ] + }, + { + "id": "ir-2_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-2(c)" + } + ], + "parts": [ + { + "id": "ir-2_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-2(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to provide refresher incident response training to information system users consistent with assigned roles or responsibilities; and\u003c/p\u003e" + ] + }, + { + "id": "ir-2_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-2(c)[2]" + } + ], + "prose": [ + "\u003cp\u003eafter the initial incident response training, provides refresher incident response training to information system users consistent with assigned roles and responsibilities in accordance with the organization-defined frequency to provide refresher training.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident response training\u003c/p\u003e", + "\u003cp\u003eincident response training curriculum\u003c/p\u003e", + "\u003cp\u003eincident response training materials\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eincident response training records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response training and operational responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ir-2.1", + "class": "SP800-53-enhancement", + "title": "Simulated Events", + "props": [ + { + "class": "name", + "value": "IR-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident response training\u003c/p\u003e", + "\u003cp\u003eincident response training curriculum\u003c/p\u003e", + "\u003cp\u003eincident response training materials\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response training and operational responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms that support and/or implement simulated events for incident response training\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-2.2", + "class": "SP800-53-enhancement", + "title": "Automated Training Environments", + "props": [ + { + "class": "name", + "value": "IR-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to provide a more thorough and realistic incident response training environment.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to provide a more thorough and realistic incident response training environment. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident response training\u003c/p\u003e", + "\u003cp\u003eincident response training curriculum\u003c/p\u003e", + "\u003cp\u003eincident response training materials\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting incident response training\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response training and operational responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms that provide a thorough and realistic incident response training environment\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ir-3", + "class": "SP800-53", + "title": "Incident Response Testing", + "params": [ + { + "id": "ir-3_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "ir-3_prm_2", + "label": "organization-defined tests" + } + ], + "props": [ + { + "class": "name", + "value": "IR-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization tests the incident response capability for the information system \u003cinsert param-id=\"ir-3_prm_1\"/\u003e using \u003cinsert param-id=\"ir-3_prm_2\"/\u003e to determine the incident response effectiveness and documents the results.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations test incident response capabilities to determine the overall effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes, for example, the use of checklists, walk-through or tabletop exercises, simulations (parallel/full interrupt), and comprehensive exercises. Incident response testing can also include a determination of the effects on organizational operations (e.g., reduction in mission capabilities), organizational assets, and individuals due to incident response.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-4" + }, + { + "rel": "related", + "href": "#ir-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-3_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-3[1]" + } + ], + "prose": [ + "\u003cp\u003edefines incident response tests to test the incident response capability for the information system;\u003c/p\u003e" + ] + }, + { + "id": "ir-3_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-3[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to test the incident response capability for the information system; and\u003c/p\u003e" + ] + }, + { + "id": "ir-3_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-3[3]" + } + ], + "prose": [ + "\u003cp\u003etests the incident response capability for the information system with the organization-defined frequency, using organization-defined tests to determine the incident response effectiveness and documents the results.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003econtingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident response testing\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency plan testing\u003c/p\u003e", + "\u003cp\u003eincident response testing material\u003c/p\u003e", + "\u003cp\u003eincident response test results\u003c/p\u003e", + "\u003cp\u003eincident response test plan\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response testing responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ir-3.1", + "class": "SP800-53-enhancement", + "title": "Automated Testing", + "props": [ + { + "class": "name", + "value": "IR-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to more thoroughly and effectively test the incident response capability.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations use automated mechanisms to more thoroughly and effectively test incident response capabilities, for example: (i) by providing more complete coverage of incident response issues; (ii) by selecting more realistic test scenarios and test environments; and (iii) by stressing the response capability.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to more thoroughly and effectively test the incident response capability.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003econtingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident response testing\u003c/p\u003e", + "\u003cp\u003eprocedures addressing contingency plan testing\u003c/p\u003e", + "\u003cp\u003eincident response testing documentation\u003c/p\u003e", + "\u003cp\u003eincident response test results\u003c/p\u003e", + "\u003cp\u003eincident response test plan\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting incident response tests\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response testing responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms that more thoroughly and effectively test the incident response capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-3.2", + "class": "SP800-53-enhancement", + "title": "Coordination with Related Plans", + "props": [ + { + "class": "name", + "value": "IR-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization coordinates incident response testing with organizational elements responsible for related plans.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational plans related to incident response testing include, for example, Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, and Occupant Emergency Plans.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization coordinates incident response testing with organizational elements responsible for related plans. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003econtingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident response testing\u003c/p\u003e", + "\u003cp\u003eincident response testing documentation\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003ebusiness continuity plans\u003c/p\u003e", + "\u003cp\u003econtingency plans\u003c/p\u003e", + "\u003cp\u003edisaster recovery plans\u003c/p\u003e", + "\u003cp\u003econtinuity of operations plans\u003c/p\u003e", + "\u003cp\u003ecrisis communications plans\u003c/p\u003e", + "\u003cp\u003ecritical infrastructure plans\u003c/p\u003e", + "\u003cp\u003eoccupant emergency plans\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response testing responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for testing organizational plans related to incident response testing\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ir-4", + "class": "SP800-53", + "title": "Incident Handling", + "props": [ + { + "class": "name", + "value": "IR-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-4a." + } + ], + "prose": [ + "\u003cp\u003eImplements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;\u003c/p\u003e" + ] + }, + { + "id": "ir-4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-4b." + } + ], + "prose": [ + "\u003cp\u003eCoordinates incident handling activities with contingency planning activities; and\u003c/p\u003e" + ] + }, + { + "id": "ir-4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-4c." + } + ], + "prose": [ + "\u003cp\u003eIncorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implements the resulting changes accordingly.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#cp-4" + }, + { + "rel": "related", + "href": "#ir-2" + }, + { + "rel": "related", + "href": "#ir-3" + }, + { + "rel": "related", + "href": "#ir-8" + }, + { + "rel": "related", + "href": "#pe-6" + }, + { + "rel": "related", + "href": "#sc-5" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-4" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-4_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(a)" + } + ], + "prose": [ + "\u003cp\u003eimplements an incident handling capability for security incidents that includes:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-4_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(a)[1]" + } + ], + "prose": [ + "\u003cp\u003epreparation;\u003c/p\u003e" + ] + }, + { + "id": "ir-4_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edetection and analysis;\u003c/p\u003e" + ] + }, + { + "id": "ir-4_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(a)[3]" + } + ], + "prose": [ + "\u003cp\u003econtainment;\u003c/p\u003e" + ] + }, + { + "id": "ir-4_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(a)[4]" + } + ], + "prose": [ + "\u003cp\u003eeradication;\u003c/p\u003e" + ] + }, + { + "id": "ir-4_obj_a.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(a)[5]" + } + ], + "prose": [ + "\u003cp\u003erecovery;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-4_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(b)" + } + ], + "prose": [ + "\u003cp\u003ecoordinates incident handling activities with contingency planning activities;\u003c/p\u003e" + ] + }, + { + "id": "ir-4_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(c)" + } + ], + "parts": [ + { + "id": "ir-4_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(c)[1]" + } + ], + "prose": [ + "\u003cp\u003eincorporates lessons learned from ongoing incident handling activities into:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-4_obj_c.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(c)[1][a]" + } + ], + "prose": [ + "\u003cp\u003eincident response procedures;\u003c/p\u003e" + ] + }, + { + "id": "ir-4_obj_c.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(c)[1][b]" + } + ], + "prose": [ + "\u003cp\u003etraining;\u003c/p\u003e" + ] + }, + { + "id": "ir-4_obj_c.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(c)[1][c]" + } + ], + "prose": [ + "\u003cp\u003etesting/exercises;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-4_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(c)[2]" + } + ], + "prose": [ + "\u003cp\u003eimplements the resulting changes accordingly to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-4_obj_c.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(c)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eincident response procedures;\u003c/p\u003e" + ] + }, + { + "id": "ir-4_obj_c.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(c)[2][b]" + } + ], + "prose": [ + "\u003cp\u003etraining; and\u003c/p\u003e" + ] + }, + { + "id": "ir-4_obj_c.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(c)[2][c]" + } + ], + "prose": [ + "\u003cp\u003etesting/exercises.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003econtingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident handling capability for the organization\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ir-4.1", + "class": "SP800-53-enhancement", + "title": "Automated Incident Handling Processes", + "props": [ + { + "class": "name", + "value": "IR-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to support the incident handling process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting incident handling processes include, for example, online incident management systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to support the incident handling process. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting incident handling\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms that support and/or implement the incident handling process\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-4.2", + "class": "SP800-53-enhancement", + "title": "Dynamic Reconfiguration", + "params": [ + { + "id": "ir-4.2_prm_1", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "IR-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization includes dynamic reconfiguration of \u003cinsert param-id=\"ir-4.2_prm_1\"/\u003e as part of the incident response capability.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic reconfiguration includes, for example, changes to router rules, access control lists, intrusion detection/prevention system parameters, and filter rules for firewalls and gateways. Organizations perform dynamic reconfiguration of information systems, for example, to stop attacks, to misdirect attackers, and to isolate components of systems, thus limiting the extent of the damage from breaches or compromises. Organizations include time frames for achieving the reconfiguration of information systems in the definition of the reconfiguration capability, considering the potential need for rapid response in order to effectively address sophisticated cyber threats.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#ac-16" + }, + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-4.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components to be dynamically reconfigured as part of the incident response capability; and\u003c/p\u003e" + ] + }, + { + "id": "ir-4.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eincludes dynamic reconfiguration of organization-defined information system components as part of the incident response capability.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting incident handling\u003c/p\u003e", + "\u003cp\u003elist of system components to be dynamically reconfigured as part of incident response capability\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms that support and/or implement dynamic reconfiguration of components as part of incident response\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-4.3", + "class": "SP800-53-enhancement", + "title": "Continuity of Operations", + "params": [ + { + "id": "ir-4.3_prm_1", + "label": "organization-defined classes of incidents" + }, + { + "id": "ir-4.3_prm_2", + "label": "organization-defined actions to take in response to classes of incidents" + } + ], + "props": [ + { + "class": "name", + "value": "IR-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization identifies \u003cinsert param-id=\"ir-4.3_prm_1\"/\u003e and \u003cinsert param-id=\"ir-4.3_prm_2\"/\u003e to ensure continuation of organizational missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClasses of incidents include, for example, malfunctions due to design/implementation errors and omissions, targeted malicious attacks, and untargeted malicious attacks. Appropriate incident response actions include, for example, graceful degradation, information system shutdown, fall back to manual mode/alternative technology whereby the system operates differently, employing deceptive measures, alternate information flows, or operating in a mode that is reserved solely for when systems are under attack.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-4.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines classes of incidents requiring an organization-defined action to be taken;\u003c/p\u003e" + ] + }, + { + "id": "ir-4.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines actions to be taken in response to organization-defined classes of incidents; and\u003c/p\u003e" + ] + }, + { + "id": "ir-4.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(3)[3]" + } + ], + "prose": [ + "\u003cp\u003eidentifies organization-defined classes of incidents and organization-defined actions to take in response to classes of incidents to ensure continuation of organizational missions and business functions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003elist of classes of incidents\u003c/p\u003e", + "\u003cp\u003elist of appropriate incident response actions\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms that support and/or implement continuity of operations\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-4.4", + "class": "SP800-53-enhancement", + "title": "Information Correlation", + "props": [ + { + "class": "name", + "value": "IR-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSometimes the nature of a threat event, for example, a hostile cyber attack, is such that it can only be observed by bringing together information from different sources including various reports and reporting procedures established by organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting incident and event correlation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eincident management correlation logs\u003c/p\u003e", + "\u003cp\u003eevent management correlation logs\u003c/p\u003e", + "\u003cp\u003esecurity information and event management logs\u003c/p\u003e", + "\u003cp\u003eincident management correlation reports\u003c/p\u003e", + "\u003cp\u003eevent management correlation reports\u003c/p\u003e", + "\u003cp\u003esecurity information and event management reports\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with whom incident information and individual incident responses are to be correlated\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for correlating incident information and individual incident responses\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms that support and or implement correlation of incident response information with individual incident responses\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-4.5", + "class": "SP800-53-enhancement", + "title": "Automatic Disabling of Information System", + "params": [ + { + "id": "ir-4.5_prm_1", + "label": "organization-defined security violations" + } + ], + "props": [ + { + "class": "name", + "value": "IR-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements a configurable capability to automatically disable the information system if \u003cinsert param-id=\"ir-4.5_prm_1\"/\u003e are detected.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-4.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security violations that, if detected, initiate a configurable capability to automatically disable the information system; and\u003c/p\u003e" + ] + }, + { + "id": "ir-4.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(5)[2]" + } + ], + "prose": [ + "\u003cp\u003eimplements a configurable capability to automatically disable the information system if any of the organization-defined security violations are detected.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting incident handling\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident handling capability for the organization\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing automatic disabling of the information system\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-4.6", + "class": "SP800-53-enhancement", + "title": "Insider Threats - Specific Capabilities", + "props": [ + { + "class": "name", + "value": "IR-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements incident handling capability for insider threats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhile many organizations address insider threat incidents as an inherent part of their organizational incident response capability, this control enhancement provides additional emphasis on this type of threat and the need for specific incident handling capabilities (as defined within organizations) to provide appropriate and timely responses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization implements incident handling capability for insider threats.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting incident handling\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident handling capability for the organization\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-4.7", + "class": "SP800-53-enhancement", + "title": "Insider Threats - Intra-organization Coordination", + "params": [ + { + "id": "ir-4.7_prm_1", + "label": "organization-defined components or elements of the organization" + } + ], + "props": [ + { + "class": "name", + "value": "IR-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization coordinates incident handling capability for insider threats across \u003cinsert param-id=\"ir-4.7_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncident handling for insider threat incidents (including preparation, detection and analysis, containment, eradication, and recovery) requires close coordination among a variety of organizational components or elements to be effective. These components or elements include, for example, mission/business owners, information system owners, human resources offices, procurement offices, personnel/physical security offices, operations personnel, and risk executive (function). In addition, organizations may require external support from federal, state, and local law enforcement agencies.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-4.7_obj_7.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(7)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines components or elements of the organization with whom the incident handling capability for insider threats is to be coordinated; and\u003c/p\u003e" + ] + }, + { + "id": "ir-4.7_obj_7.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(7)[2]" + } + ], + "prose": [ + "\u003cp\u003ecoordinates incident handling capability for insider threats across organization-defined components or elements of the organization.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel/elements with whom incident handling capability is to be coordinated\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for coordinating incident handling\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-4.8", + "class": "SP800-53-enhancement", + "title": "Correlation with External Organizations", + "params": [ + { + "id": "ir-4.8_prm_1", + "label": "organization-defined external organizations" + }, + { + "id": "ir-4.8_prm_2", + "label": "organization-defined incident information" + } + ], + "props": [ + { + "class": "name", + "value": "IR-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization coordinates with \u003cinsert param-id=\"ir-4.8_prm_1\"/\u003e to correlate and share \u003cinsert param-id=\"ir-4.8_prm_2\"/\u003e to achieve a cross-organization perspective on incident awareness and more effective incident responses.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe coordination of incident information with external organizations including, for example, mission/business partners, military/coalition partners, customers, and multitiered developers, can provide significant benefits. Cross-organizational coordination with respect to incident handling can serve as an important risk management capability. This capability allows organizations to leverage critical information from a variety of sources to effectively respond to information security-related incidents potentially affecting the organization’s operations, assets, and individuals.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-4.8_obj_8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(8)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines external organizations with whom organizational incident information is to be coordinated;\u003c/p\u003e" + ] + }, + { + "id": "ir-4.8_obj_8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(8)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines incident information to be correlated and shared with organization-defined external organizations; and\u003c/p\u003e" + ] + }, + { + "id": "ir-4.8_obj_8.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(8)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization coordinates with organization-defined external organizations to correlate and share organization-defined information to achieve a cross-organization perspective on incident awareness and more effective incident responses.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp\u003elist of external organizations\u003c/p\u003e", + "\u003cp\u003erecords of incident handling coordination with external organizations\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003epersonnel from external organizations with whom incident response information is to be coordinated/shared/correlated\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for coordinating incident handling information with external organizations\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-4.9", + "class": "SP800-53-enhancement", + "title": "Dynamic Response Capability", + "params": [ + { + "id": "ir-4.9_prm_1", + "label": "organization-defined dynamic response capabilities" + } + ], + "props": [ + { + "class": "name", + "value": "IR-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"ir-4.9_prm_1\"/\u003e to effectively respond to security incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses the deployment of replacement or new capabilities in a timely manner in response to security incidents (e.g., adversary actions during hostile cyber attacks). This includes capabilities implemented at the mission/business process level (e.g., activating alternative mission/business processes) and at the information system level.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-4.9_obj_9.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(9)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines dynamic response capabilities to be employed to effectively respond to security incidents; and\u003c/p\u003e" + ] + }, + { + "id": "ir-4.9_obj_9.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-4(9)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined dynamic response capabilities to effectively respond to security incidents.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting dynamic response capabilities\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for dynamic response capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the dynamic response capability for the organization\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-4.10", + "class": "SP800-53-enhancement", + "title": "Supply Chain Coordination", + "props": [ + { + "class": "name", + "value": "IR-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain coordination\u003c/p\u003e", + "\u003cp\u003eacquisition contracts\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eincident response plans of other organization involved in supply chain activities\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident handling responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ir-5", + "class": "SP800-53", + "title": "Incident Monitoring", + "props": [ + { + "class": "name", + "value": "IR-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization tracks and documents information system security incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDocumenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. 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and\u003c/p\u003e" + ] + }, + { + "id": "ir-6.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-6(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereports information system vulnerabilities associated with reported security incidents to organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident reporting\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity incident reports and associated information system vulnerabilities\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident reporting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003epersonnel to whom vulnerabilities associated with security incidents are to be reported\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for incident reporting\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing reporting of vulnerabilities associated with security incidents\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-6.3", + "class": "SP800-53-enhancement", + "title": "Coordination with Supply Chain", + "props": [ + { + "class": "name", + "value": "IR-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations involved in supply chain activities include, for example, system/product developers, integrators, manufacturers, packagers, assemblers, distributors, vendors, and resellers. Supply chain incidents include, for example, compromises/breaches involving information system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities. Organizations determine the appropriate information to share considering the value gained from support by external organizations with the potential for harm due to sensitive information being released to outside organizations of perhaps questionable trustworthiness.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain coordination\u003c/p\u003e", + "\u003cp\u003eacquisition contracts\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eplans of other organization involved in supply chain activities\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident reporting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for incident reporting\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing reporting of incident information involved in the supply chain\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ir-7", + "class": "SP800-53", + "title": "Incident Response Assistance", + "props": [ + { + "class": "name", + "value": "IR-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the information system for the handling and reporting of security incidents.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services, when required.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-2" + }, + { + "rel": "related", + "href": "#ir-4" + }, + { + "rel": "related", + "href": "#ir-6" + }, + { + "rel": "related", + "href": "#ir-8" + }, + { + "rel": "related", + "href": "#sa-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization provides an incident response support resource:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-7_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-7[1]" + } + ], + "prose": [ + "\u003cp\u003ethat is integral to the organizational incident response capability; and\u003c/p\u003e" + ] + }, + { + "id": "ir-7_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-7[2]" + } + ], + "prose": [ + "\u003cp\u003ethat offers advice and assistance to users of the information system for the handling and reporting of security incidents.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident response assistance\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response assistance and support responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with access to incident response support and assistance capability\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for incident response assistance\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing incident response assistance\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ir-7.1", + "class": "SP800-53-enhancement", + "title": "Automation Support for Availability of Information / Support", + "props": [ + { + "class": "name", + "value": "IR-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to increase the availability of incident response-related information and support.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to increase the availability of incident response-related information and support.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident response assistance\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting incident response support and assistance\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response support and assistance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with access to incident response support and assistance capability\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for incident response assistance\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing an increase in the availability of incident response information and support\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-7.2", + "class": "SP800-53-enhancement", + "title": "Coordination with External Providers", + "props": [ + { + "class": "name", + "value": "IR-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-7.2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-7 (2)(a)" + } + ], + "prose": [ + "\u003cp\u003eEstablishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and\u003c/p\u003e" + ] + }, + { + "id": "ir-7.2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-7 (2)(b)" + } + ], + "prose": [ + "\u003cp\u003eIdentifies organizational incident response team members to the external providers.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-7.2_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-7(2)(a)" + } + ], + "prose": [ + "\u003cp\u003eestablishes a direct, cooperative relationship between its incident response capability and external providers of information system protection capability; and\u003c/p\u003e" + ] + }, + { + "id": "ir-7.2_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-7(2)(b)" + } + ], + "prose": [ + "\u003cp\u003eidentifies organizational incident response team members to the external providers.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident response assistance\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response support and assistance responsibilities\u003c/p\u003e", + "\u003cp\u003eexternal providers of information system protection capability\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ir-8", + "class": "SP800-53", + "title": "Incident Response Plan", + "params": [ + { + "id": "ir-8_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "ir-8_prm_2", + "label": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + }, + { + "id": "ir-8_prm_3", + "label": "organization-defined frequency" + }, + { + "id": "ir-8_prm_4", + "label": "organization-defined incident response personnel (identified by name and/or by role) and organizational elements" + } + ], + "props": [ + { + "class": "name", + "value": "IR-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-8_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-8a." + } + ], + "prose": [ + "\u003cp\u003eDevelops an incident response plan that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-8_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-8a.1." + } + ], + "prose": [ + "\u003cp\u003eProvides the organization with a roadmap for implementing its incident response capability;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-8a.2." + } + ], + "prose": [ + "\u003cp\u003eDescribes the structure and organization of the incident response capability;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_smt_a.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-8a.3." + } + ], + "prose": [ + "\u003cp\u003eProvides a high-level approach for how the incident response capability fits into the overall organization;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_smt_a.4", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-8a.4." + } + ], + "prose": [ + "\u003cp\u003eMeets the unique requirements of the organization, which relate to mission, size, structure, and functions;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_smt_a.5", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-8a.5." + } + ], + "prose": [ + "\u003cp\u003eDefines reportable incidents;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_smt_a.6", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-8a.6." + } + ], + "prose": [ + "\u003cp\u003eProvides metrics for measuring the incident response capability within the organization;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_smt_a.7", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-8a.7." + } + ], + "prose": [ + "\u003cp\u003eDefines the resources and management support needed to effectively maintain and mature an incident response capability; and\u003c/p\u003e" + ] + }, + { + "id": "ir-8_smt_a.8", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-8a.8." + } + ], + "prose": [ + "\u003cp\u003eIs reviewed and approved by \u003cinsert param-id=\"ir-8_prm_1\"/\u003e;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-8_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-8b." + } + ], + "prose": [ + "\u003cp\u003eDistributes copies of the incident response plan to \u003cinsert param-id=\"ir-8_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-8c." + } + ], + "prose": [ + "\u003cp\u003eReviews the incident response plan \u003cinsert param-id=\"ir-8_prm_3\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-8d." + } + ], + "prose": [ + "\u003cp\u003eUpdates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-8e." + } + ], + "prose": [ + "\u003cp\u003eCommunicates incident response plan changes to \u003cinsert param-id=\"ir-8_prm_4\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ir-8_smt_f", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-8f." + } + ], + "prose": [ + "\u003cp\u003eProtects the incident response plan from unauthorized disclosure and modification.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIt is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#mp-2" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#mp-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-8_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)" + } + ], + "prose": [ + "\u003cp\u003edevelops an incident response plan that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-8_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)(1)" + } + ], + "prose": [ + "\u003cp\u003eprovides the organization with a roadmap for implementing its incident response capability;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)(2)" + } + ], + "prose": [ + "\u003cp\u003edescribes the structure and organization of the incident response capability;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)(3)" + } + ], + "prose": [ + "\u003cp\u003eprovides a high-level approach for how the incident response capability fits into the overall organization;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)" + } + ], + "prose": [ + "\u003cp\u003emeets the unique requirements of the organization, which relate to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-8_obj_a.4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)[1]" + } + ], + "prose": [ + "\u003cp\u003emission;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_a.4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)[2]" + } + ], + "prose": [ + "\u003cp\u003esize;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_a.4.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)[3]" + } + ], + "prose": [ + "\u003cp\u003estructure;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_a.4.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)(4)[4]" + } + ], + "prose": [ + "\u003cp\u003efunctions;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-8_obj_a.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)(5)" + } + ], + "prose": [ + "\u003cp\u003edefines reportable incidents;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_a.6", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)(6)" + } + ], + "prose": [ + "\u003cp\u003eprovides metrics for measuring the incident response capability within the organization;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_a.7", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)(7)" + } + ], + "prose": [ + "\u003cp\u003edefines the resources and management support needed to effectively maintain and mature an incident response capability;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_a.8", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)(8)" + } + ], + "parts": [ + { + "id": "ir-8_obj_a.8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)(8)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to review and approve the incident response plan;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_a.8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(a)(8)[2]" + } + ], + "prose": [ + "\u003cp\u003eis reviewed and approved by organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-8_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(b)" + } + ], + "parts": [ + { + "id": "ir-8_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(b)[1]" + } + ], + "parts": [ + { + "id": "ir-8_obj_b.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(b)[1][a]" + } + ], + "prose": [ + "\u003cp\u003edefines incident response personnel (identified by name and/or by role) to whom copies of the incident response plan are to be distributed;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_b.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(b)[1][b]" + } + ], + "prose": [ + "\u003cp\u003edefines organizational elements to whom copies of the incident response plan are to be distributed;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-8_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edistributes copies of the incident response plan to organization-defined incident response personnel (identified by name and/or by role) and organizational elements;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-8_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(c)" + } + ], + "parts": [ + { + "id": "ir-8_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review the incident response plan;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(c)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews the incident response plan with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-8_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(d)" + } + ], + "prose": [ + "\u003cp\u003eupdates the incident response plan to address system/organizational changes or problems encountered during plan:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-8_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(d)[1]" + } + ], + "prose": [ + "\u003cp\u003eimplementation;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(d)[2]" + } + ], + "prose": [ + "\u003cp\u003eexecution; or\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_d.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(d)[3]" + } + ], + "prose": [ + "\u003cp\u003etesting;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-8_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(e)" + } + ], + "parts": [ + { + "id": "ir-8_obj_e.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(e)[1]" + } + ], + "parts": [ + { + "id": "ir-8_obj_e.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(e)[1][a]" + } + ], + "prose": [ + "\u003cp\u003edefines incident response personnel (identified by name and/or by role) to whom incident response plan changes are to be communicated;\u003c/p\u003e" + ] + }, + { + "id": "ir-8_obj_e.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(e)[1][b]" + } + ], + "prose": [ + "\u003cp\u003edefines organizational elements to whom incident response plan changes are to be communicated;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-8_obj_e.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(e)[2]" + } + ], + "prose": [ + "\u003cp\u003ecommunicates incident response plan changes to organization-defined incident response personnel (identified by name and/or by role) and organizational elements; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-8_obj_f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-8(f)" + } + ], + "prose": [ + "\u003cp\u003eprotects the incident response plan from unauthorized disclosure and modification.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident response planning\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003erecords of incident response plan reviews and approvals\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response planning responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational incident response plan and related organizational processes\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ir-9", + "class": "SP800-53", + "title": "Information Spillage Response", + "params": [ + { + "id": "ir-9_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "ir-9_prm_2", + "label": "organization-defined actions" + } + ], + "props": [ + { + "class": "name", + "value": "IR-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization responds to information spills by:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-9_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-9a." + } + ], + "prose": [ + "\u003cp\u003eIdentifying the specific information involved in the information system contamination;\u003c/p\u003e" + ] + }, + { + "id": "ir-9_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-9b." + } + ], + "prose": [ + "\u003cp\u003eAlerting \u003cinsert param-id=\"ir-9_prm_1\"/\u003e of the information spill using a method of communication not associated with the spill;\u003c/p\u003e" + ] + }, + { + "id": "ir-9_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-9c." + } + ], + "prose": [ + "\u003cp\u003eIsolating the contaminated information system or system component;\u003c/p\u003e" + ] + }, + { + "id": "ir-9_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-9d." + } + ], + "prose": [ + "\u003cp\u003eEradicating the information from the contaminated information system or component;\u003c/p\u003e" + ] + }, + { + "id": "ir-9_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-9e." + } + ], + "prose": [ + "\u003cp\u003eIdentifying other information systems or system components that may have been subsequently contaminated; and\u003c/p\u003e" + ] + }, + { + "id": "ir-9_smt_f", + "class": "item", + "props": [ + { + "class": "name", + "value": "IR-9f." + } + ], + "prose": [ + "\u003cp\u003ePerforming other \u003cinsert param-id=\"ir-9_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation spillage refers to instances where either classified or sensitive information is inadvertently placed on information systems that are not authorized to process such information. Such information spills often occur when information that is initially thought to be of lower sensitivity is transmitted to an information system and then is subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information (e.g., security category or classification level), the security capabilities of the information system, the specific nature of contaminated storage media, and the access authorizations (e.g., security clearances) of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-9_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(a)" + } + ], + "prose": [ + "\u003cp\u003eresponds to information spills by identifying the specific information causing the information system contamination;\u003c/p\u003e" + ] + }, + { + "id": "ir-9_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(b)" + } + ], + "parts": [ + { + "id": "ir-9_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel to be alerted of the information spillage;\u003c/p\u003e" + ] + }, + { + "id": "ir-9_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eidentifies a method of communication not associated with the information spill to use to alert organization-defined personnel of the spill;\u003c/p\u003e" + ] + }, + { + "id": "ir-9_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(b)[3]" + } + ], + "prose": [ + "\u003cp\u003eresponds to information spills by alerting organization-defined personnel of the information spill using a method of communication not associated with the spill;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ir-9_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(c)" + } + ], + "prose": [ + "\u003cp\u003eresponds to information spills by isolating the contaminated information system;\u003c/p\u003e" + ] + }, + { + "id": "ir-9_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(d)" + } + ], + "prose": [ + "\u003cp\u003eresponds to information spills by eradicating the information from the contaminated information system;\u003c/p\u003e" + ] + }, + { + "id": "ir-9_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(e)" + } + ], + "prose": [ + "\u003cp\u003eresponds to information spills by identifying other information systems that may have been subsequently contaminated;\u003c/p\u003e" + ] + }, + { + "id": "ir-9_obj_f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(f)" + } + ], + "parts": [ + { + "id": "ir-9_obj_f.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(f)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines other actions to be performed in response to information spills; and\u003c/p\u003e" + ] + }, + { + "id": "ir-9_obj_f.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(f)[2]" + } + ], + "prose": [ + "\u003cp\u003eresponds to information spills by performing other organization-defined actions.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information spillage\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003erecords of information spillage alerts/notifications, list of personnel who should receive alerts of information spillage\u003c/p\u003e", + "\u003cp\u003elist of actions to be performed regarding information spillage\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for information spillage response\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing information spillage response actions and related communications\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ir-9.1", + "class": "SP800-53-enhancement", + "title": "Responsible Personnel", + "params": [ + { + "id": "ir-9.1_prm_1", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "IR-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization assigns \u003cinsert param-id=\"ir-9.1_prm_1\"/\u003e with responsibility for responding to information spills.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-9.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel with responsibility for responding to information spills; and\u003c/p\u003e" + ] + }, + { + "id": "ir-9.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eassigns organization-defined personnel with responsibility for responding to information spills.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information spillage\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003elist of personnel responsible for responding to information spillage\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-9.2", + "class": "SP800-53-enhancement", + "title": "Training", + "params": [ + { + "id": "ir-9.2_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "IR-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides information spillage response training \u003cinsert param-id=\"ir-9.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-9.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to provide information spillage response training; and\u003c/p\u003e" + ] + }, + { + "id": "ir-9.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides information spillage response training with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information spillage response training\u003c/p\u003e", + "\u003cp\u003einformation spillage response training curriculum\u003c/p\u003e", + "\u003cp\u003einformation spillage response training materials\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003einformation spillage response training records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response training responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-9.3", + "class": "SP800-53-enhancement", + "title": "Post-spill Operations", + "params": [ + { + "id": "ir-9.3_prm_1", + "label": "organization-defined procedures" + } + ], + "props": [ + { + "class": "name", + "value": "IR-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements \u003cinsert param-id=\"ir-9.3_prm_1\"/\u003e to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrection actions for information systems contaminated due to information spillages may be very time-consuming. During those periods, personnel may not have access to the contaminated systems, which may potentially affect their ability to conduct organizational business.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-9.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines procedures that ensure organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions; and\u003c/p\u003e" + ] + }, + { + "id": "ir-9.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(3)[2]" + } + ], + "prose": [ + "\u003cp\u003eimplements organization-defined procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information spillage\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for post-spill operations\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ir-9.4", + "class": "SP800-53-enhancement", + "title": "Exposure to Unauthorized Personnel", + "params": [ + { + "id": "ir-9.4_prm_1", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "IR-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"ir-9.4_prm_1\"/\u003e for personnel exposed to information not within assigned access authorizations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity safeguards include, for example, making personnel exposed to spilled information aware of the federal laws, directives, policies, and/or regulations regarding the information and the restrictions imposed based on exposure to such information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ir-9.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be employed for personnel exposed to information not within assigned access authorizations; and\u003c/p\u003e" + ] + }, + { + "id": "ir-9.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "IR-9(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined security safeguards for personnel exposed to information not within assigned access authorizations.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident handling\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information spillage\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003esecurity safeguards regarding information spillage/exposure to unauthorized personnel\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for dealing with information exposed to unauthorized personnel\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing safeguards for personnel exposed to information not within assigned access authorizations\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ir-10", + "class": "SP800-53", + "title": "Integrated Information Security Analysis Team", + "props": [ + { + "class": "name", + "value": "IR-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization establishes an integrated team of forensic/malicious code analysts, tool developers, and real-time operations personnel.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHaving an integrated team for incident response facilitates information sharing. Such capability allows organizational personnel, including developers, implementers, and operators, to leverage the team knowledge of the threat in order to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, it promotes the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated security analysis team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing intelligence development. This enables the team to identify adversary TTPs that are linked to the operations tempo or to specific missions/business functions, and to define responsive actions in a way that does not disrupt the mission/business operations. Ideally, information security analysis teams are distributed within organizations to make the capability more resilient.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization establishes an integrated team of forensic/malicious code analyst, tool developers, and real-time operations personnel.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIncident response policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident response planning and security analysis team integration\u003c/p\u003e", + "\u003cp\u003eincident response plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with incident response and information security analysis responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel participating on integrated security analysis teams\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "Maintenance", + "controls": [ + { + "id": "ma-1", + "class": "SP800-53", + "title": "System Maintenance Policy and Procedures", + "params": [ + { + "id": "ma-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "ma-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "ma-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "MA-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ma-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-1a.1." + } + ], + "prose": [ + "\u003cp\u003eA system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "ma-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the system maintenance policy and associated system maintenance controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-1b.1." + } + ], + "prose": [ + "\u003cp\u003eSystem maintenance policy \u003cinsert param-id=\"ma-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ma-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-1b.2." + } + ], + "prose": [ + "\u003cp\u003eSystem maintenance procedures \u003cinsert param-id=\"ma-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)" + } + ], + "parts": [ + { + "id": "ma-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents a system maintenance policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "ma-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "ma-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "ma-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "ma-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "ma-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "ma-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the system maintenance policy is to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "ma-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the system maintenance policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(2)" + } + ], + "parts": [ + { + "id": "ma-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the maintenance policy and associated system maintenance controls;\u003c/p\u003e" + ] + }, + { + "id": "ma-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "ma-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(b)(1)" + } + ], + "parts": [ + { + "id": "ma-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current system maintenance policy;\u003c/p\u003e" + ] + }, + { + "id": "ma-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current system maintenance policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(b)(2)" + } + ], + "parts": [ + { + "id": "ma-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current system maintenance procedures; and\u003c/p\u003e" + ] + }, + { + "id": "ma-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current system maintenance procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eMaintenance policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ma-2", + "class": "SP800-53", + "title": "Controlled Maintenance", + "params": [ + { + "id": "ma-2_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "ma-2_prm_2", + "label": "organization-defined maintenance-related information" + } + ], + "props": [ + { + "class": "name", + "value": "MA-2" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-2a." + } + ], + "prose": [ + "\u003cp\u003eSchedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements;\u003c/p\u003e" + ] + }, + { + "id": "ma-2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-2b." + } + ], + "prose": [ + "\u003cp\u003eApproves and monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;\u003c/p\u003e" + ] + }, + { + "id": "ma-2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-2c." + } + ], + "prose": [ + "\u003cp\u003eRequires that \u003cinsert param-id=\"ma-2_prm_1\"/\u003e explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ] + }, + { + "id": "ma-2_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-2d." + } + ], + "prose": [ + "\u003cp\u003eSanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ] + }, + { + "id": "ma-2_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-2e." + } + ], + "prose": [ + "\u003cp\u003eChecks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions; and\u003c/p\u003e" + ] + }, + { + "id": "ma-2_smt_f", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-2f." + } + ], + "prose": [ + "\u003cp\u003eIncludes \u003cinsert param-id=\"ma-2_prm_2\"/\u003e in organizational maintenance records.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the information security aspects of the information system maintenance program and applies to all types of maintenance to any system component (including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, in-house, software maintenance agreement). System maintenance also includes those components not directly associated with information processing and/or data/information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example: (i) date and time of maintenance; (ii) name of individuals or group performing the maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed; and (v) information system components/equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational information systems. Organizations consider supply chain issues associated with replacement components for information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-4" + }, + { + "rel": "related", + "href": "#ma-4" + }, + { + "rel": "related", + "href": "#mp-6" + }, + { + "rel": "related", + "href": "#pe-16" + }, + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#si-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-2_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(a)" + } + ], + "parts": [ + { + "id": "ma-2_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eschedules maintenance and repairs on information system components in accordance with:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-2_obj_a.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(a)[1][a]" + } + ], + "prose": [ + "\u003cp\u003emanufacturer or vendor specifications; and/or\u003c/p\u003e" + ] + }, + { + "id": "ma-2_obj_a.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(a)[1][b]" + } + ], + "prose": [ + "\u003cp\u003eorganizational requirements;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-2_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eperforms maintenance and repairs on information system components in accordance with:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-2_obj_a.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(a)[2][a]" + } + ], + "prose": [ + "\u003cp\u003emanufacturer or vendor specifications; and/or\u003c/p\u003e" + ] + }, + { + "id": "ma-2_obj_a.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(a)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eorganizational requirements;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-2_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(a)[3]" + } + ], + "prose": [ + "\u003cp\u003edocuments maintenance and repairs on information system components in accordance with:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-2_obj_a.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(a)[3][a]" + } + ], + "prose": [ + "\u003cp\u003emanufacturer or vendor specifications; and/or\u003c/p\u003e" + ] + }, + { + "id": "ma-2_obj_a.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(a)[3][b]" + } + ], + "prose": [ + "\u003cp\u003eorganizational requirements;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-2_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(a)[4]" + } + ], + "prose": [ + "\u003cp\u003ereviews records of maintenance and repairs on information system components in accordance with:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-2_obj_a.4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(a)[4][a]" + } + ], + "prose": [ + "\u003cp\u003emanufacturer or vendor specifications; and/or\u003c/p\u003e" + ] + }, + { + "id": "ma-2_obj_a.4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(a)[4][b]" + } + ], + "prose": [ + "\u003cp\u003eorganizational requirements;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-2_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(b)" + } + ], + "parts": [ + { + "id": "ma-2_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(b)[1]" + } + ], + "prose": [ + "\u003cp\u003eapproves all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;\u003c/p\u003e" + ] + }, + { + "id": "ma-2_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(b)[2]" + } + ], + "prose": [ + "\u003cp\u003emonitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-2_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(c)" + } + ], + "parts": [ + { + "id": "ma-2_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles required to explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ] + }, + { + "id": "ma-2_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(c)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires that organization-defined personnel or roles explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-2_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(d)" + } + ], + "prose": [ + "\u003cp\u003esanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;\u003c/p\u003e" + ] + }, + { + "id": "ma-2_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(e)" + } + ], + "prose": [ + "\u003cp\u003echecks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions;\u003c/p\u003e" + ] + }, + { + "id": "ma-2_obj_f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(f)" + } + ], + "parts": [ + { + "id": "ma-2_obj_f.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(f)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines maintenance-related information to be included in organizational maintenance records; and\u003c/p\u003e" + ] + }, + { + "id": "ma-2_obj_f.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(f)[2]" + } + ], + "prose": [ + "\u003cp\u003eincludes organization-defined maintenance-related information in organizational maintenance records.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing controlled information system maintenance\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003emanufacturer/vendor maintenance specifications\u003c/p\u003e", + "\u003cp\u003eequipment sanitization records\u003c/p\u003e", + "\u003cp\u003emedia sanitization records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for media sanitization\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the information system\u003c/p\u003e", + "\u003cp\u003eorganizational processes for sanitizing information system components\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing controlled maintenance\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing sanitization of information system components\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ma-2.1", + "class": "SP800-53-enhancement", + "title": "Record Content", + "links": [ + { + "rel": "related", + "href": "#ma-2" + } + ], + "props": [ + { + "class": "name", + "value": "MA-2 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into MA-2\u003c/i\u003e \u003ci\u003eIncorporated into MA-2\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-2.2", + "class": "SP800-53-enhancement", + "title": "Automated Maintenance Activities", + "props": [ + { + "class": "name", + "value": "MA-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-2.2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-2 (2)(a)" + } + ], + "prose": [ + "\u003cp\u003eEmploys automated mechanisms to schedule, conduct, and document maintenance and repairs; and\u003c/p\u003e" + ] + }, + { + "id": "ma-2.2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-2 (2)(b)" + } + ], + "prose": [ + "\u003cp\u003eProduces up-to date, accurate, and complete records of all maintenance and repair actions requested, scheduled, in process, and completed.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#ma-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-2.2_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(2)(a)" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-2.2_obj_2.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(2)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eschedule maintenance and repairs;\u003c/p\u003e" + ] + }, + { + "id": "ma-2.2_obj_2.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(2)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003econduct maintenance and repairs;\u003c/p\u003e" + ] + }, + { + "id": "ma-2.2_obj_2.a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(2)(a)[3]" + } + ], + "prose": [ + "\u003cp\u003edocument maintenance and repairs;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-2.2_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(2)(b)" + } + ], + "prose": [ + "\u003cp\u003eproduces up-to-date, accurate, and complete records of all maintenance and repair actions:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-2.2_obj_2.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(2)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003erequested;\u003c/p\u003e" + ] + }, + { + "id": "ma-2.2_obj_2.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(2)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003escheduled;\u003c/p\u003e" + ] + }, + { + "id": "ma-2.2_obj_2.b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-2(2)(b)[3]" + } + ], + "prose": [ + "\u003cp\u003ein process; 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"class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational process for inspecting media for malicious code\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing inspection of media used for maintenance\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-3.3", + "class": "SP800-53-enhancement", + "title": "Prevent Unauthorized Removal", + "params": [ + { + "id": "ma-3.3_prm_1", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "MA-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization prevents the unauthorized removal of maintenance equipment containing organizational information by:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-3.3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-3 (3)(a)" + } + ], + "prose": [ + "\u003cp\u003eVerifying that there is no organizational information contained on the equipment;\u003c/p\u003e" + ] + }, + { + "id": "ma-3.3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-3 (3)(b)" + } + ], + "prose": [ + "\u003cp\u003eSanitizing or destroying the equipment;\u003c/p\u003e" + ] + }, + { + "id": "ma-3.3_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-3 (3)(c)" + } + ], + "prose": [ + "\u003cp\u003eRetaining the equipment within the facility; or\u003c/p\u003e" + ] + }, + { + "id": "ma-3.3_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-3 (3)(d)" + } + ], + "prose": [ + "\u003cp\u003eObtaining an exemption from \u003cinsert param-id=\"ma-3.3_prm_1\"/\u003e explicitly authorizing removal of the equipment from the facility.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational information includes all information specifically 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are used to carry out maintenance functions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-5" + }, + { + "rel": "related", + "href": "#ac-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization restricts the use of maintenance tools to authorized personnel only. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system maintenance tools\u003c/p\u003e", + "\u003cp\u003einformation system maintenance tools and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of personnel authorized to use maintenance tools\u003c/p\u003e", + "\u003cp\u003emaintenance tool usage records\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational process for restricting use of maintenance tools\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing restricted use of maintenance tools\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ma-4", + "class": "SP800-53", + "title": "Nonlocal Maintenance", + "props": [ + { + "class": "name", + "value": "MA-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4a." + } + ], + "prose": [ + "\u003cp\u003eApproves and monitors nonlocal maintenance and diagnostic activities;\u003c/p\u003e" + ] + }, + { + "id": "ma-4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4b." + } + ], + "prose": [ + "\u003cp\u003eAllows the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system;\u003c/p\u003e" + ] + }, + { + "id": "ma-4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4c." + } + ], + "prose": [ + "\u003cp\u003eEmploys strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;\u003c/p\u003e" + ] + }, + { + "id": "ma-4_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4d." + } + ], + "prose": [ + "\u003cp\u003eMaintains records for nonlocal maintenance and diagnostic activities; and\u003c/p\u003e" + ] + }, + { + "id": "ma-4_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4e." + } + ], + "prose": [ + "\u003cp\u003eTerminates session and network connections when nonlocal maintenance is completed.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Typically, strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-3" + }, + { + "rel": "related", + "href": "#ia-2" + }, + { + "rel": "related", + "href": "#ia-4" + }, + { + "rel": "related", + "href": "#ia-5" + }, + { + "rel": "related", + "href": "#ia-8" + }, + { + "rel": "related", + "href": "#ma-2" + }, + { + "rel": "related", + "href": "#ma-5" + }, + { + "rel": "related", + "href": "#mp-6" + }, + { + "rel": "related", + "href": "#pl-2" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#sc-10" + }, + { + "rel": "related", + "href": "#sc-17" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-4_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(a)" + } + ], + "parts": [ + { + "id": "ma-4_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eapproves nonlocal maintenance and diagnostic activities;\u003c/p\u003e" + ] + }, + { + "id": "ma-4_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(a)[2]" + } + ], + "prose": [ + "\u003cp\u003emonitors nonlocal maintenance and diagnostic activities;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-4_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(b)" + } + ], + "prose": [ + "\u003cp\u003eallows the use of nonlocal maintenance and diagnostic tools only:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-4_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(b)[1]" + } + ], + "prose": [ + "\u003cp\u003eas consistent with organizational policy;\u003c/p\u003e" + ] + }, + { + "id": "ma-4_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eas documented in the security plan for the information system;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-4_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(c)" + } + ], + "prose": [ + "\u003cp\u003eemploys strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;\u003c/p\u003e" + ] + }, + { + "id": "ma-4_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(d)" + } + ], + "prose": [ + "\u003cp\u003emaintains records for nonlocal maintenance and diagnostic activities;\u003c/p\u003e" + ] + }, + { + "id": "ma-4_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(e)" + } + ], + "parts": [ + { + "id": "ma-4_obj_e.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(e)[1]" + } + ], + "prose": [ + "\u003cp\u003eterminates sessions when nonlocal maintenance or diagnostics is completed; and\u003c/p\u003e" + ] + }, + { + "id": "ma-4_obj_e.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(e)[2]" + } + ], + "prose": [ + "\u003cp\u003eterminates network connections when nonlocal maintenance or diagnostics is completed.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing nonlocal information system maintenance\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003ediagnostic records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing nonlocal maintenance\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing, supporting, and/or managing nonlocal maintenance\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for strong authentication of nonlocal maintenance diagnostic sessions\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for terminating nonlocal maintenance sessions and network connections\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ma-4.1", + "class": "SP800-53-enhancement", + "title": "Auditing and Review", + "params": [ + { + "id": "ma-4.1_prm_1", + "label": "organization-defined audit events" + } + ], + "props": [ + { + "class": "name", + "value": "MA-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-4.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eAudits nonlocal maintenance and diagnostic sessions \u003cinsert param-id=\"ma-4.1_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ma-4.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eReviews the records of the maintenance and diagnostic sessions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#au-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-4.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(1)(a)" + } + ], + "parts": [ + { + "id": "ma-4.1_obj_1.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(1)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines audit events to audit nonlocal maintenance and diagnostic sessions;\u003c/p\u003e" + ] + }, + { + "id": "ma-4.1_obj_1.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(1)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eaudits organization-defined audit events for non-local maintenance and diagnostic sessions; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-4.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(1)(b)" + } + ], + "prose": [ + "\u003cp\u003ereviews records of the maintenance and diagnostic sessions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing nonlocal information system maintenance\u003c/p\u003e", + "\u003cp\u003elist of audit events\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003ediagnostic records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003ereviews of maintenance and diagnostic session records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with audit and review responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for audit and review of nonlocal maintenance\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing audit and review of nonlocal maintenance\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-4.2", + "class": "SP800-53-enhancement", + "title": "Document Nonlocal Maintenance", + "props": [ + { + "class": "name", + "value": "MA-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization documents in the security plan for the information system, the policies and procedures for the establishment and use of nonlocal maintenance and diagnostic connections.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization documents in the security plan for the information system: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-4.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe policies for the establishment and use of nonlocal maintenance and diagnostic connections; and\u003c/p\u003e" + ] + }, + { + "id": "ma-4.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe procedures for the establishment and use of nonlocal maintenance and diagnostic connections.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing non-local information system maintenance\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003ediagnostic records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-4.3", + "class": "SP800-53-enhancement", + "title": "Comparable Security / Sanitization", + "props": [ + { + "class": "name", + "value": "MA-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-4.3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4 (3)(a)" + } + ], + "prose": [ + "\u003cp\u003eRequires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or\u003c/p\u003e" + ] + }, + { + "id": "ma-4.3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4 (3)(b)" + } + ], + "prose": [ + "\u003cp\u003eRemoves the component to be serviced from the information system prior to nonlocal maintenance or diagnostic services, sanitizes the component (with regard to organizational information) before removal from organizational facilities, and after the service is performed, inspects and sanitizes the component (with regard to potentially malicious software) before reconnecting the component to the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eComparable security capability on information systems, diagnostic tools, and equipment providing maintenance services implies that the implemented security controls on those systems, tools, and equipment are at least as comprehensive as the controls on the information system being serviced.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ma-3" + }, + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-4.3_obj_3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(3)(a)" + } + ], + "prose": [ + "\u003cp\u003erequires that nonlocal maintenance and diagnostic services be performed from an information system that implements a security capability comparable to the capability implemented on the system being serviced; or\u003c/p\u003e" + ] + }, + { + "id": "ma-4.3_obj_3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(3)(b)" + } + ], + "parts": [ + { + "id": "ma-4.3_obj_3.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(3)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003eremoves the component to be serviced from the information system;\u003c/p\u003e" + ] + }, + { + "id": "ma-4.3_obj_3.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(3)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003esanitizes the component (with regard to organizational information) prior to nonlocal maintenance or diagnostic services and/or before removal from organizational facilities; and\u003c/p\u003e" + ] + }, + { + "id": "ma-4.3_obj_3.b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(3)(b)[3]" + } + ], + "prose": [ + "\u003cp\u003einspects and sanitizes the component (with regard to potentially malicious software) after service is performed on the component and before reconnecting the component to the information system.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing nonlocal information system maintenance\u003c/p\u003e", + "\u003cp\u003eservice provider contracts and/or service-level agreements\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003einspection records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eequipment sanitization records\u003c/p\u003e", + "\u003cp\u003emedia sanitization records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003einformation system maintenance provider\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for media sanitization\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for comparable security and sanitization for nonlocal maintenance\u003c/p\u003e", + "\u003cp\u003eorganizational processes for removal, sanitization, and inspection of components serviced via nonlocal maintenance\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing component sanitization and inspection\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-4.4", + "class": "SP800-53-enhancement", + "title": "Authentication / Separation of Maintenance Sessions", + "params": [ + { + "id": "ma-4.4_prm_1", + "label": "organization-defined authenticators that are replay resistant" + } + ], + "props": [ + { + "class": "name", + "value": "MA-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization protects nonlocal maintenance sessions by:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-4.4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4 (4)(a)" + } + ], + "prose": [ + "\u003cp\u003eEmploying \u003cinsert param-id=\"ma-4.4_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ma-4.4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4 (4)(b)" + } + ], + "prose": [ + "\u003cp\u003eSeparating the maintenance sessions from other network sessions with the information system by either:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-4.4_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4 (4)(b)(1)" + } + ], + "prose": [ + "\u003cp\u003ePhysically separated communications paths; or\u003c/p\u003e" + ] + }, + { + "id": "ma-4.4_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4 (4)(b)(2)" + } + ], + "prose": [ + "\u003cp\u003eLogically separated communications paths based upon encryption.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization protects nonlocal maintenance sessions by: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-4.4_obj_4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(4)(a)" + } + ], + "parts": [ + { + "id": "ma-4.4_obj_4.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(4)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefining replay resistant authenticators to be employed to protect nonlocal maintenance sessions;\u003c/p\u003e" + ] + }, + { + "id": "ma-4.4_obj_4.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(4)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploying organization-defined authenticators that are replay resistant;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-4.4_obj_4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(4)(b)" + } + ], + "prose": [ + "\u003cp\u003eseparating the maintenance sessions from other network sessions with the information system by either:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-4.4_obj_4.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(4)(b)(1)" + } + ], + "prose": [ + "\u003cp\u003ephysically separated communications paths; or\u003c/p\u003e" + ] + }, + { + "id": "ma-4.4_obj_4.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(4)(b)(2)" + } + ], + "prose": [ + "\u003cp\u003elogically separated communications paths based upon encryption.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing nonlocal information system maintenance\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003enetwork engineers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for protecting nonlocal maintenance sessions\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing replay resistant authenticators\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing logically separated/encrypted communications paths\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-4.5", + "class": "SP800-53-enhancement", + "title": "Approvals and Notifications", + "params": [ + { + "id": "ma-4.5_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "ma-4.5_prm_2", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "MA-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-4.5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4 (5)(a)" + } + ], + "prose": [ + "\u003cp\u003eRequires the approval of each nonlocal maintenance session by \u003cinsert param-id=\"ma-4.5_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ma-4.5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-4 (5)(b)" + } + ], + "prose": [ + "\u003cp\u003eNotifies \u003cinsert param-id=\"ma-4.5_prm_2\"/\u003e of the date and time of planned nonlocal maintenance.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNotification may be performed by maintenance personnel. Approval of nonlocal maintenance sessions is accomplished by organizational personnel with sufficient information security and information system knowledge to determine the appropriateness of the proposed maintenance.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-4.5_obj_5.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(5)(a)" + } + ], + "parts": [ + { + "id": "ma-4.5_obj_5.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(5)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles required to approve each nonlocal maintenance session;\u003c/p\u003e" + ] + }, + { + "id": "ma-4.5_obj_5.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(5)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires the approval of each nonlocal maintenance session by organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-4.5_obj_5.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(5)(b)" + } + ], + "parts": [ + { + "id": "ma-4.5_obj_5.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(5)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to be notified of the date and time of planned nonlocal maintenance; and\u003c/p\u003e" + ] + }, + { + "id": "ma-4.5_obj_5.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-4(5)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003enotifies organization-defined personnel roles of the date and time of planned nonlocal maintenance.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing non-local information system maintenance\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003enotifications supporting nonlocal maintenance sessions\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with notification responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with approval responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for approving and notifying personnel regarding nonlocal maintenance\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting notification and approval of nonlocal maintenance\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-4.6", + "class": "SP800-53-enhancement", + "title": "Cryptographic Protection", + "props": [ + { + "class": "name", + "value": "MA-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#sc-8" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing non-local information system maintenance\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ecryptographic mechanisms protecting nonlocal maintenance activities\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003ediagnostic records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003enetwork engineers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eCryptographic mechanisms protecting nonlocal maintenance and diagnostic communications\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-4.7", + "class": "SP800-53-enhancement", + "title": "Remote Disconnect Verification", + "props": [ + { + "class": "name", + "value": "MA-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRemote disconnect verification ensures that remote connections from nonlocal maintenance sessions have been terminated and are no longer available for use.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing non-local information system maintenance\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ecryptographic mechanisms protecting nonlocal maintenance activities\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003ediagnostic records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003enetwork engineers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing remote disconnect verifications of terminated nonlocal maintenance and diagnostic sessions\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ma-5", + "class": "SP800-53", + "title": "Maintenance Personnel", + "props": [ + { + "class": "name", + "value": "MA-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-5a." + } + ], + "prose": [ + "\u003cp\u003eEstablishes a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel;\u003c/p\u003e" + ] + }, + { + "id": "ma-5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-5b." + } + ], + "prose": [ + "\u003cp\u003eEnsures that non-escorted personnel performing maintenance on the information system have required access authorizations; and\u003c/p\u003e" + ] + }, + { + "id": "ma-5_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-5c." + } + ], + "prose": [ + "\u003cp\u003eDesignates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to individuals performing hardware or software maintenance on organizational information systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of supervising individuals relates to the maintenance performed on the information systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational information systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ia-8" + }, + { + "rel": "related", + "href": "#mp-2" + }, + { + "rel": "related", + "href": "#pe-2" + }, + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#pe-4" + }, + { + "rel": "related", + "href": "#ra-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-5_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(a)" + } + ], + "parts": [ + { + "id": "ma-5_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eestablishes a process for maintenance personnel authorization;\u003c/p\u003e" + ] + }, + { + "id": "ma-5_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(a)[2]" + } + ], + "prose": [ + "\u003cp\u003emaintains a list of authorized maintenance organizations or personnel;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-5_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(b)" + } + ], + "prose": [ + "\u003cp\u003eensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and\u003c/p\u003e" + ] + }, + { + "id": "ma-5_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(c)" + } + ], + "prose": [ + "\u003cp\u003edesignates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp\u003eservice provider contracts\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003elist of authorized personnel\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003eaccess control records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for authorizing and managing maintenance personnel\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing authorization of maintenance personnel\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ma-5.1", + "class": "SP800-53-enhancement", + "title": "Individuals Without Appropriate Access", + "props": [ + { + "class": "name", + "value": "MA-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-5.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-5 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eImplements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-5.1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-5 (1)(a)(1)" + } + ], + "prose": [ + "\u003cp\u003eMaintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;\u003c/p\u003e" + ] + }, + { + "id": "ma-5.1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-5 (1)(a)(2)" + } + ], + "prose": [ + "\u003cp\u003ePrior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances or formal access approvals, all volatile information storage components within the information system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-5.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-5 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eDevelops and implements alternate security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement denies individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on organizational information systems. Procedures for the use of maintenance personnel can be documented in security plans for the information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#mp-6" + }, + { + "rel": "related", + "href": "#pl-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-5.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)" + } + ], + "prose": [ + "\u003cp\u003eimplements procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-5.1_obj_1.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(1)" + } + ], + "prose": [ + "\u003cp\u003emaintenance personnel who do not have needed access authorizations, clearances, or formal access approvals are escorted and supervised during the performance of maintenance and diagnostic activities on the information system by approved organizational personnel who:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-5.1_obj_1.a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eare fully cleared;\u003c/p\u003e" + ] + }, + { + "id": "ma-5.1_obj_1.a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ehave appropriate access authorizations;\u003c/p\u003e" + ] + }, + { + "id": "ma-5.1_obj_1.a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003eare technically qualified;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-5.1_obj_1.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(2)" + } + ], + "prose": [ + "\u003cp\u003eprior to initiating maintenance or diagnostic activities by personnel who do not have needed access authorizations, clearances, or formal access approvals:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-5.1_obj_1.a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003eall volatile information storage components within the information system are sanitized; and\u003c/p\u003e" + ] + }, + { + "id": "ma-5.1_obj_1.a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eall nonvolatile storage media are removed; or\u003c/p\u003e" + ] + }, + { + "id": "ma-5.1_obj_1.a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(1)(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eall nonvolatile storage media are physically disconnected from the system and secured; and\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-5.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(1)(b)" + } + ], + "prose": [ + "\u003cp\u003edevelops and implements alternative security safeguards in the event an information system component cannot be sanitized, removed, or disconnected from the system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp\u003einformation system media protection policy\u003c/p\u003e", + "\u003cp\u003ephysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003elist of maintenance personnel requiring escort/supervision\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003eaccess control records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for media sanitization\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing maintenance personnel without appropriate access\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing alternative security safeguards\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing information storage component sanitization\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-5.2", + "class": "SP800-53-enhancement", + "title": "Security Clearances for Classified Systems", + "props": [ + { + "class": "name", + "value": "MA-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for all compartments of information on the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ps-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-5.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(2)[1]" + } + ], + "prose": [ + "\u003cp\u003esecurity clearances for at least the highest classification level on the system;\u003c/p\u003e" + ] + }, + { + "id": "ma-5.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(2)[2]" + } + ], + "prose": [ + "\u003cp\u003esecurity clearances for all compartments of information on the system;\u003c/p\u003e" + ] + }, + { + "id": "ma-5.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eformal access approvals for at least the highest classification level on the system; and\u003c/p\u003e" + ] + }, + { + "id": "ma-5.2_obj_2.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(2)[4]" + } + ], + "prose": [ + "\u003cp\u003eformal access approvals for all compartments of information on the system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp\u003epersonnel records\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003eaccess control records\u003c/p\u003e", + "\u003cp\u003eaccess credentials\u003c/p\u003e", + "\u003cp\u003eaccess authorizations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing security clearances for maintenance personnel\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-5.3", + "class": "SP800-53-enhancement", + "title": "Citizenship Requirements for Classified Systems", + "props": [ + { + "class": "name", + "value": "MA-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ps-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp\u003epersonnel records\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003eaccess control records\u003c/p\u003e", + "\u003cp\u003eaccess credentials\u003c/p\u003e", + "\u003cp\u003eaccess authorizations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-5.4", + "class": "SP800-53-enhancement", + "title": "Foreign Nationals", + "props": [ + { + "class": "name", + "value": "MA-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-5.4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-5 (4)(a)" + } + ], + "prose": [ + "\u003cp\u003eCleared foreign nationals (i.e., foreign nationals with appropriate security clearances), are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are jointly owned and operated by the United States and foreign allied governments, or owned and operated solely by foreign allied governments; and\u003c/p\u003e" + ] + }, + { + "id": "ma-5.4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MA-5 (4)(b)" + } + ], + "prose": [ + "\u003cp\u003eApprovals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ps-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization ensures that: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-5.4_obj_4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(4)(a)" + } + ], + "prose": [ + "\u003cp\u003ecleared foreign nationals (i.e., foreign nationals with appropriate security clearances) are used to conduct maintenance and diagnostic activities on classified information systems only when the systems are:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-5.4_obj_4.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(4)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ejointly owned and operated by the United States and foreign allied governments; or\u003c/p\u003e" + ] + }, + { + "id": "ma-5.4_obj_4.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(4)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eowned and operated solely by foreign allied governments; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ma-5.4_obj_4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-5(4)(b)" + } + ], + "prose": [ + "\u003cp\u003eapprovals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified information systems are fully documented within Memoranda of Agreements.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp\u003einformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp\u003ememorandum of agreement\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003eaccess control records\u003c/p\u003e", + "\u003cp\u003eaccess credentials\u003c/p\u003e", + "\u003cp\u003eaccess authorizations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities, organizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel managing memoranda of agreements\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing foreign national maintenance personnel\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-5.5", + "class": "SP800-53-enhancement", + "title": "Nonsystem-related Maintenance", + "props": [ + { + "class": "name", + "value": "MA-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePersonnel performing maintenance activities in other capacities not directly related to the information system include, for example, physical plant personnel and janitorial personnel.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing maintenance personnel\u003c/p\u003e", + "\u003cp\u003einformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003eaccess control records\u003c/p\u003e", + "\u003cp\u003eaccess authorizations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ma-6", + "class": "SP800-53", + "title": "Timely Maintenance", + "params": [ + { + "id": "ma-6_prm_1", + "label": "organization-defined information system components" + }, + { + "id": "ma-6_prm_2", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "MA-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization obtains maintenance support and/or spare parts for \u003cinsert param-id=\"ma-6_prm_1\"/\u003e within \u003cinsert param-id=\"ma-6_prm_2\"/\u003e of failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations specify the information system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support typically include having appropriate contracts in place.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-8" + }, + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#cp-7" + }, + { + "rel": "related", + "href": "#sa-14" + }, + { + "rel": "related", + "href": "#sa-15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-6_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-6[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components for which maintenance support and/or spare parts are to be obtained;\u003c/p\u003e" + ] + }, + { + "id": "ma-6_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-6[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period within which maintenance support and/or spare parts are to be obtained after a failure;\u003c/p\u003e" + ] + }, + { + "id": "ma-6_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-6[3]" + } + ], + "parts": [ + { + "id": "ma-6_obj_3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-6[3][a]" + } + ], + "prose": [ + "\u003cp\u003eobtains maintenance support for organization-defined information system components within the organization-defined time period of failure; and/or\u003c/p\u003e" + ] + }, + { + "id": "ma-6_obj_3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-6[3][b]" + } + ], + "prose": [ + "\u003cp\u003eobtains spare parts for organization-defined information system components within the organization-defined time period of failure.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system maintenance\u003c/p\u003e", + "\u003cp\u003eservice provider contracts\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003einventory and availability of spare parts\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for ensuring timely maintenance\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ma-6.1", + "class": "SP800-53-enhancement", + "title": "Preventive Maintenance", + "params": [ + { + "id": "ma-6.1_prm_1", + "label": "organization-defined information system components" + }, + { + "id": "ma-6.1_prm_2", + "label": "organization-defined time intervals" + } + ], + "props": [ + { + "class": "name", + "value": "MA-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization performs preventive maintenance on \u003cinsert param-id=\"ma-6.1_prm_1\"/\u003e at \u003cinsert param-id=\"ma-6.1_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePreventive maintenance includes proactive care and servicing of organizational information systems components for the purpose of maintaining equipment and facilities in satisfactory operating condition. Such maintenance provides for the systematic inspection, tests, measurements, adjustments, parts replacement, detection, and correction of incipient failures either before they occur or before they develop into major defects. The primary goal of preventive maintenance is to avoid/mitigate the consequences of equipment failures. Preventive maintenance is designed to preserve and restore equipment reliability by replacing worn components before they actually fail. Methods of determining what preventive (or other) failure management policies to apply include, for example, original equipment manufacturer (OEM) recommendations, statistical failure records, requirements of codes, legislation, or regulations within a jurisdiction, expert opinion, maintenance that has already been conducted on similar equipment, or measured values and performance indications.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-6.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-6(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components on which preventive maintenance is to be performed;\u003c/p\u003e" + ] + }, + { + "id": "ma-6.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-6(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines time intervals within which preventive maintenance is to be performed on organization-defined information system components; and\u003c/p\u003e" + ] + }, + { + "id": "ma-6.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-6(1)[3]" + } + ], + "prose": [ + "\u003cp\u003eperforms preventive maintenance on organization-defined information system components at organization-defined time intervals.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system maintenance\u003c/p\u003e", + "\u003cp\u003eservice provider contracts\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003elist of system components requiring preventive maintenance\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for preventive maintenance\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing preventive maintenance\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-6.2", + "class": "SP800-53-enhancement", + "title": "Predictive Maintenance", + "params": [ + { + "id": "ma-6.2_prm_1", + "label": "organization-defined information system components" + }, + { + "id": "ma-6.2_prm_2", + "label": "organization-defined time intervals" + } + ], + "props": [ + { + "class": "name", + "value": "MA-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization performs predictive maintenance on \u003cinsert param-id=\"ma-6.2_prm_1\"/\u003e at \u003cinsert param-id=\"ma-6.2_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePredictive maintenance, or condition-based maintenance, attempts to evaluate the condition of equipment by performing periodic or continuous (online) equipment condition monitoring. The goal of predictive maintenance is to perform maintenance at a scheduled point in time when the maintenance activity is most cost-effective and before the equipment loses performance within a threshold. The predictive component of predictive maintenance stems from the goal of predicting the future trend of the equipment's condition. This approach uses principles of statistical process control to determine at what point in the future maintenance activities will be appropriate. Most predictive maintenance inspections are performed while equipment is in service, thereby minimizing disruption of normal system operations. Predictive maintenance can result in substantial cost savings and higher system reliability. Predictive maintenance tends to include measurement of the item. To evaluate equipment condition, predictive maintenance utilizes nondestructive testing technologies such as infrared, acoustic (partial discharge and airborne ultrasonic), corona detection, vibration analysis, sound level measurements, oil analysis, and other specific online tests.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ma-6.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-6(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components on which predictive maintenance is to be performed;\u003c/p\u003e" + ] + }, + { + "id": "ma-6.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-6(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines time intervals within which predictive maintenance is to be performed on organization-defined information system components; and\u003c/p\u003e" + ] + }, + { + "id": "ma-6.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MA-6(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eperforms predictive maintenance on organization-defined information system components at organization-defined time intervals.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system maintenance\u003c/p\u003e", + "\u003cp\u003eservice provider contracts\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003elist of system components requiring predictive maintenance\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for predictive maintenance\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing predictive maintenance\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ma-6.3", + "class": "SP800-53-enhancement", + "title": "Automated Support for Predictive Maintenance", + "props": [ + { + "class": "name", + "value": "MA-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA computerized maintenance management system maintains a computer database of information about the maintenance operations of organizations and automates processing equipment condition data in order to trigger maintenance planning, execution, and reporting.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system maintenance policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system maintenance\u003c/p\u003e", + "\u003cp\u003eservice provider contracts\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003emaintenance records\u003c/p\u003e", + "\u003cp\u003elist of system components requiring predictive maintenance\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system maintenance responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing the transfer of predictive maintenance data to a computerized maintenance management system\u003c/p\u003e", + "\u003cp\u003eoperations of the computer maintenance management system\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "Media Protection", + "controls": [ + { + "id": "mp-1", + "class": "SP800-53", + "title": "Media Protection Policy and Procedures", + "params": [ + { + "id": "mp-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "mp-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "mp-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "MP-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"mp-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-1a.1." + } + ], + "prose": [ + "\u003cp\u003eA media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "mp-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the media protection policy and associated media protection controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-1b.1." + } + ], + "prose": [ + "\u003cp\u003eMedia protection policy \u003cinsert param-id=\"mp-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "mp-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-1b.2." + } + ], + "prose": [ + "\u003cp\u003eMedia protection procedures \u003cinsert param-id=\"mp-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)" + } + ], + "parts": [ + { + "id": "mp-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents a media protection policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "mp-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "mp-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "mp-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "mp-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "mp-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "mp-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the media protection policy is to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "mp-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the media protection policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(2)" + } + ], + "parts": [ + { + "id": "mp-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the media protection policy and associated media protection controls;\u003c/p\u003e" + ] + }, + { + "id": "mp-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "mp-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(b)(1)" + } + ], + "parts": [ + { + "id": "mp-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current media protection policy;\u003c/p\u003e" + ] + }, + { + "id": "mp-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current media protection policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(b)(2)" + } + ], + "parts": [ + { + "id": "mp-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current media protection procedures; and\u003c/p\u003e" + ] + }, + { + "id": "mp-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current media protection procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eMedia protection policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with media protection responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "mp-2", + "class": "SP800-53", + "title": "Media Access", + "params": [ + { + "id": "mp-2_prm_1", + "label": "organization-defined types of digital and/or non-digital media" + }, + { + "id": "mp-2_prm_2", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "MP-2" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization restricts access to \u003cinsert param-id=\"mp-2_prm_1\"/\u003e to \u003cinsert param-id=\"mp-2_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Restricting non-digital media access includes, for example, denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers. Restricting access to digital media includes, for example, limiting access to design specifications stored on compact disks in the media library to the project leader and the individuals on the development team.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ia-2" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#pe-2" + }, + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#pl-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-2_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-2[1]" + } + ], + "prose": [ + "\u003cp\u003edefines types of digital and/or non-digital media requiring restricted access;\u003c/p\u003e" + ] + }, + { + "id": "mp-2_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-2[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles authorized to access organization-defined types of digital and/or non-digital media; and\u003c/p\u003e" + ] + }, + { + "id": "mp-2_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-2[3]" + } + ], + "prose": [ + "\u003cp\u003erestricts access to organization-defined types of digital and/or non-digital media to organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media access restrictions\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp\u003emedia storage facilities\u003c/p\u003e", + "\u003cp\u003eaccess control records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media protection responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for restricting information media\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing media access restrictions\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "mp-2.1", + "class": "SP800-53-enhancement", + "title": "Automated Restricted Access", + "links": [ + { + "rel": "related", + "href": "#mp-4.2" + } + ], + "props": [ + { + "class": "name", + "value": "MP-2 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into MP-4 (2)\u003c/i\u003e \u003ci\u003eIncorporated into MP-4 (2)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-2.2", + "class": "SP800-53-enhancement", + "title": "Cryptographic Protection", + "links": [ + { + "rel": "related", + "href": "#sc-28.1" + } + ], + "props": [ + { + "class": "name", + "value": "MP-2 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-28 (1)\u003c/i\u003e \u003ci\u003eIncorporated into SC-28 (1)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "mp-3", + "class": "SP800-53", + "title": "Media Marking", + "params": [ + { + "id": "mp-3_prm_1", + "label": "organization-defined types of information system media" + }, + { + "id": "mp-3_prm_2", + "label": "organization-defined controlled areas" + } + ], + "props": [ + { + "class": "name", + "value": "MP-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-3a." + } + ], + "prose": [ + "\u003cp\u003eMarks information system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and\u003c/p\u003e" + ] + }, + { + "id": "mp-3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-3b." + } + ], + "prose": [ + "\u003cp\u003eExempts \u003cinsert param-id=\"mp-3_prm_1\"/\u003e from marking as long as the media remain within \u003cinsert param-id=\"mp-3_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe term security marking refers to the application/use of human-readable security attributes. The term security labeling refers to the application/use of security attributes with regard to internal data structures within information systems (see AC-16). Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of information system media reflects applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-16" + }, + { + "rel": "related", + "href": "#pl-2" + }, + { + "rel": "related", + "href": "#ra-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-3_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-3(a)" + } + ], + "prose": [ + "\u003cp\u003emarks information system media indicating the:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-3_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-3(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edistribution limitations of the information;\u003c/p\u003e" + ] + }, + { + "id": "mp-3_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-3(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ehandling caveats of the information;\u003c/p\u003e" + ] + }, + { + "id": "mp-3_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-3(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eapplicable security markings (if any) of the information;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-3_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-3(b)" + } + ], + "parts": [ + { + "id": "mp-3_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-3(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines types of information system media to be exempted from marking as long as the media remain in designated controlled areas;\u003c/p\u003e" + ] + }, + { + "id": "mp-3_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-3(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines controlled areas where organization-defined types of information system media exempt from marking are to be retained; and\u003c/p\u003e" + ] + }, + { + "id": "mp-3_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-3(b)[3]" + } + ], + "prose": [ + "\u003cp\u003eexempts organization-defined types of information system media from marking as long as the media remain within organization-defined controlled areas.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media marking\u003c/p\u003e", + "\u003cp\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003elist of information system media marking security attributes\u003c/p\u003e", + "\u003cp\u003edesignated controlled areas\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media protection and marking responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for marking information media\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing media marking\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "mp-4", + "class": "SP800-53", + "title": "Media Storage", + "params": [ + { + "id": "mp-4_prm_1", + "label": "organization-defined types of digital and/or non-digital media" + }, + { + "id": "mp-4_prm_2", + "label": "organization-defined controlled areas" + } + ], + "props": [ + { + "class": "name", + "value": "MP-4" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-4a." + } + ], + "prose": [ + "\u003cp\u003ePhysically controls and securely stores \u003cinsert param-id=\"mp-4_prm_1\"/\u003e within \u003cinsert param-id=\"mp-4_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "mp-4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-4b." + } + ], + "prose": [ + "\u003cp\u003eProtects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling information system media includes, for example, conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the media library, and maintaining accountability for all stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet, or a controlled media library. The type of media storage is commensurate with the security category and/or classification of the information residing on the media. Controlled areas are areas for which organizations provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and/or information systems. For media containing information determined by organizations to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on organizations or individuals if accessed by other than authorized personnel, fewer safeguards may be needed. In these situations, physical access controls provide adequate protection.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-6" + }, + { + "rel": "related", + "href": "#cp-9" + }, + { + "rel": "related", + "href": "#mp-2" + }, + { + "rel": "related", + "href": "#mp-7" + }, + { + "rel": "related", + "href": "#pe-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-4_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-4(a)" + } + ], + "parts": [ + { + "id": "mp-4_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-4(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines types of digital and/or non-digital media to be physically controlled and securely stored within designated controlled areas;\u003c/p\u003e" + ] + }, + { + "id": "mp-4_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-4(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines controlled areas designated to physically control and securely store organization-defined types of digital and/or non-digital media;\u003c/p\u003e" + ] + }, + { + "id": "mp-4_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-4(a)[3]" + } + ], + "prose": [ + "\u003cp\u003ephysically controls organization-defined types of digital and/or non-digital media within organization-defined controlled areas;\u003c/p\u003e" + ] + }, + { + "id": "mp-4_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-4(a)[4]" + } + ], + "prose": [ + "\u003cp\u003esecurely stores organization-defined types of digital and/or non-digital media within organization-defined controlled areas; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-4_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-4(b)" + } + ], + "prose": [ + "\u003cp\u003eprotects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media storage\u003c/p\u003e", + "\u003cp\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system media\u003c/p\u003e", + "\u003cp\u003edesignated controlled areas\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media protection and storage responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for storing information media\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing secure media storage/media protection\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "mp-4.1", + "class": "SP800-53-enhancement", + "title": "Cryptographic Protection", + "links": [ + { + "rel": "related", + "href": "#sc-28.1" + } + ], + "props": [ + { + "class": "name", + "value": "MP-4 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-28 (1)\u003c/i\u003e \u003ci\u003eIncorporated into SC-28 (1)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-4.2", + "class": "SP800-53-enhancement", + "title": "Automated Restricted Access", + "props": [ + { + "class": "name", + "value": "MP-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can include, for example, keypads on the external entries to media storage areas.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-9" + }, + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#au-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-4.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-4(2)[1]" + } + ], + "prose": [ + "\u003cp\u003erestrict access to media storage areas;\u003c/p\u003e" + ] + }, + { + "id": "mp-4.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-4(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eaudit access attempts; and\u003c/p\u003e" + ] + }, + { + "id": "mp-4.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-4(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eaudit access granted.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media storage\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003emedia storage facilities\u003c/p\u003e", + "\u003cp\u003eaccess control devices\u003c/p\u003e", + "\u003cp\u003eaccess control records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media protection and storage responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms restricting access to media storage areas\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms auditing access attempts and access granted to media storage areas\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "mp-5", + "class": "SP800-53", + "title": "Media Transport", + "params": [ + { + "id": "mp-5_prm_1", + "label": "organization-defined types of information system media" + }, + { + "id": "mp-5_prm_2", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "MP-5" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-5a." + } + ], + "prose": [ + "\u003cp\u003eProtects and controls \u003cinsert param-id=\"mp-5_prm_1\"/\u003e during transport outside of controlled areas using \u003cinsert param-id=\"mp-5_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "mp-5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-5b." + } + ], + "prose": [ + "\u003cp\u003eMaintains accountability for information system media during transport outside of controlled areas;\u003c/p\u003e" + ] + }, + { + "id": "mp-5_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-5c." + } + ], + "prose": [ + "\u003cp\u003eDocuments activities associated with the transport of information system media; and\u003c/p\u003e" + ] + }, + { + "id": "mp-5_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-5d." + } + ], + "prose": [ + "\u003cp\u003eRestricts the activities associated with the transport of information system media to authorized personnel.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers), that are transported outside of controlled areas. Controlled areas are areas or spaces for which organizations provide sufficient physical and/or procedural safeguards to meet the requirements established for protecting information and/or information systems. Physical and technical safeguards for media are commensurate with the security category or classification of the information residing on the media. Safeguards to protect media during transport include, for example, locked containers and cryptography. Cryptographic mechanisms can provide confidentiality and integrity protections depending upon the mechanisms used. Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel, and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#cp-9" + }, + { + "rel": "related", + "href": "#mp-3" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#ra-3" + }, + { + "rel": "related", + "href": "#sc-8" + }, + { + "rel": "related", + "href": "#sc-13" + }, + { + "rel": "related", + "href": "#sc-28" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-5_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-5(a)" + } + ], + "parts": [ + { + "id": "mp-5_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-5(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines types of information system media to be protected and controlled during transport outside of controlled areas;\u003c/p\u003e" + ] + }, + { + "id": "mp-5_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-5(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to protect and control organization-defined information system media during transport outside of controlled areas;\u003c/p\u003e" + ] + }, + { + "id": "mp-5_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-5(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eprotects and controls organization-defined information system media during transport outside of controlled areas using organization-defined security safeguards;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-5_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-5(b)" + } + ], + "prose": [ + "\u003cp\u003emaintains accountability for information system media during transport outside of controlled areas;\u003c/p\u003e" + ] + }, + { + "id": "mp-5_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-5(c)" + } + ], + "prose": [ + "\u003cp\u003edocuments activities associated with the transport of information system media; and\u003c/p\u003e" + ] + }, + { + "id": "mp-5_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-5(d)" + } + ], + "prose": [ + "\u003cp\u003erestricts the activities associated with transport of information system media to authorized personnel.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media storage\u003c/p\u003e", + "\u003cp\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system media\u003c/p\u003e", + "\u003cp\u003edesignated controlled areas\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media protection and storage responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for storing information media\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing media storage/media protection\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "mp-5.1", + "class": "SP800-53-enhancement", + "title": "Protection Outside of Controlled Areas", + "links": [ + { + "rel": "related", + "href": "#mp-5" + } + ], + "props": [ + { + "class": "name", + "value": "MP-5 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into MP-5\u003c/i\u003e \u003ci\u003eIncorporated into MP-5\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-5.2", + "class": "SP800-53-enhancement", + "title": "Documentation of Activities", + "links": [ + { + "rel": "related", + "href": "#mp-5" + } + ], + "props": [ + { + "class": "name", + "value": "MP-5 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into MP-5\u003c/i\u003e \u003ci\u003eIncorporated into MP-5\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-5.3", + "class": "SP800-53-enhancement", + "title": "Custodians", + "props": [ + { + "class": "name", + "value": "MP-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs an identified custodian during transport of information system media outside of controlled areas.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIdentified custodians provide organizations with specific points of contact during the media transport process and facilitate individual accountability. Custodial responsibilities can be transferred from one individual to another as long as an unambiguous custodian is identified at all times.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs an identified custodian during transport of information system media outside of controlled areas. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media transport\u003c/p\u003e", + "\u003cp\u003ephysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system media transport records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media transport responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "mp-5.4", + "class": "SP800-53-enhancement", + "title": "Cryptographic Protection", + "props": [ + { + "class": "name", + "value": "MP-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to both portable storage devices (e.g., USB memory sticks, compact disks, digital video disks, external/removable hard disk drives) and mobile devices with storage capability (e.g., smart phones, tablets, E-readers).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#mp-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media transport\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system media transport records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media transport responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eCryptographic mechanisms protecting information on digital media during transportation outside controlled areas\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "mp-6", + "class": "SP800-53", + "title": "Media Sanitization", + "params": [ + { + "id": "mp-6_prm_1", + "label": "organization-defined information system media" + }, + { + "id": "mp-6_prm_2", + "label": "organization-defined sanitization techniques and procedures" + } + ], + "props": [ + { + "class": "name", + "value": "MP-6" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-6_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-6a." + } + ], + "prose": [ + "\u003cp\u003eSanitizes \u003cinsert param-id=\"mp-6_prm_1\"/\u003e prior to disposal, release out of organizational control, or release for reuse using \u003cinsert param-id=\"mp-6_prm_2\"/\u003e in accordance with applicable federal and organizational standards and policies; and\u003c/p\u003e" + ] + }, + { + "id": "mp-6_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-6b." + } + ], + "prose": [ + "\u003cp\u003eEmploys sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to all information system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include media found in scanners, copiers, printers, notebook computers, workstations, network components, and mobile devices. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media containing classified information.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ma-2" + }, + { + "rel": "related", + "href": "#ma-4" + }, + { + "rel": "related", + "href": "#ra-3" + }, + { + "rel": "related", + "href": "#sc-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-6_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(a)" + } + ], + "parts": [ + { + "id": "mp-6_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system media to be sanitized prior to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-6_obj_a.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(a)[1][a]" + } + ], + "prose": [ + "\u003cp\u003edisposal;\u003c/p\u003e" + ] + }, + { + "id": "mp-6_obj_a.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(a)[1][b]" + } + ], + "prose": [ + "\u003cp\u003erelease out of organizational control; or\u003c/p\u003e" + ] + }, + { + "id": "mp-6_obj_a.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(a)[1][c]" + } + ], + "prose": [ + "\u003cp\u003erelease for reuse;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-6_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines sanitization techniques or procedures to be used for sanitizing organization-defined information system media prior to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-6_obj_a.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(a)[2][a]" + } + ], + "prose": [ + "\u003cp\u003edisposal;\u003c/p\u003e" + ] + }, + { + "id": "mp-6_obj_a.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(a)[2][b]" + } + ], + "prose": [ + "\u003cp\u003erelease out of organizational control; or\u003c/p\u003e" + ] + }, + { + "id": "mp-6_obj_a.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(a)[2][c]" + } + ], + "prose": [ + "\u003cp\u003erelease for reuse;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-6_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(a)[3]" + } + ], + "prose": [ + "\u003cp\u003esanitizes organization-defined information system media prior to disposal, release out of organizational control, or release for reuse using organization-defined sanitization techniques or procedures in accordance with applicable federal and organizational standards and policies; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-6_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(b)" + } + ], + "prose": [ + "\u003cp\u003eemploys sanitization mechanisms with strength and integrity commensurate with the security category or classification of the information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp\u003eapplicable federal standards and policies addressing media sanitization\u003c/p\u003e", + "\u003cp\u003emedia sanitization records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with media sanitization responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for media sanitization\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "mp-6.1", + "class": "SP800-53-enhancement", + "title": "Review / Approve / Track / Document / Verify", + "props": [ + { + "class": "name", + "value": "MP-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization reviews, approves, tracks, documents, and verifies media sanitization and disposal actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking/documenting actions include, for example, listing personnel who reviewed and approved sanitization and disposal actions, types of media sanitized, specific files stored on the media, sanitization methods used, date and time of the sanitization actions, personnel who performed the sanitization, verification actions taken, personnel who performed the verification, and disposal action taken. Organizations verify that the sanitization of the media was effective prior to disposal.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-6.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ereviews media sanitization and disposal actions;\u003c/p\u003e" + ] + }, + { + "id": "mp-6.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eapproves media sanitization and disposal actions;\u003c/p\u003e" + ] + }, + { + "id": "mp-6.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(1)[3]" + } + ], + "prose": [ + "\u003cp\u003etracks media sanitization and disposal actions;\u003c/p\u003e" + ] + }, + { + "id": "mp-6.1_obj_1.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(1)[4]" + } + ], + "prose": [ + "\u003cp\u003edocuments media sanitization and disposal actions; and\u003c/p\u003e" + ] + }, + { + "id": "mp-6.1_obj_1.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(1)[5]" + } + ], + "prose": [ + "\u003cp\u003everifies media sanitization and disposal actions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp\u003emedia sanitization and disposal records\u003c/p\u003e", + "\u003cp\u003ereview records for media sanitization and disposal actions\u003c/p\u003e", + "\u003cp\u003eapprovals for media sanitization and disposal actions\u003c/p\u003e", + "\u003cp\u003etracking records\u003c/p\u003e", + "\u003cp\u003everification records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media sanitization and disposal responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for media sanitization\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "mp-6.2", + "class": "SP800-53-enhancement", + "title": "Equipment Testing", + "params": [ + { + "id": "mp-6.2_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "MP-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization tests sanitization equipment and procedures \u003cinsert param-id=\"mp-6.2_prm_1\"/\u003e to verify that the intended sanitization is being achieved.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTesting of sanitization equipment and procedures may be conducted by qualified and authorized external entities (e.g., other federal agencies or external service providers).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-6.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency for testing sanitization equipment and procedures to verify that the intended sanitization is being achieved; and\u003c/p\u003e" + ] + }, + { + "id": "mp-6.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(2)[2]" + } + ], + "prose": [ + "\u003cp\u003etests sanitization equipment and procedures with the organization-defined frequency to verify that the intended sanitization is being achieved.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp\u003eprocedures addressing testing of media sanitization equipment\u003c/p\u003e", + "\u003cp\u003eresults of media sanitization equipment and procedures testing\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media sanitization responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for media sanitization\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "mp-6.3", + "class": "SP800-53-enhancement", + "title": "Nondestructive Techniques", + "params": [ + { + "id": "mp-6.3_prm_1", + "label": "organization-defined circumstances requiring sanitization of portable storage devices" + } + ], + "props": [ + { + "class": "name", + "value": "MP-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under the following circumstances: \u003cinsert param-id=\"mp-6.3_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to digital media containing classified information and Controlled Unclassified Information (CUI). Portable storage devices can be the source of malicious code insertions into organizational information systems. Many of these devices are obtained from unknown and potentially untrustworthy sources and may contain malicious code that can be readily transferred to information systems through USB ports or other entry portals. While scanning such storage devices is always recommended, sanitization provides additional assurance that the devices are free of malicious code to include code capable of initiating zero-day attacks. Organizations consider nondestructive sanitization of portable storage devices when such devices are first purchased from the manufacturer or vendor prior to initial use or when organizations lose a positive chain of custody for the devices.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-6.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines circumstances requiring sanitization of portable storage devices; and\u003c/p\u003e" + ] + }, + { + "id": "mp-6.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(3)[2]" + } + ], + "prose": [ + "\u003cp\u003eapplies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under organization-defined circumstances requiring sanitization of portable storage devices.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp\u003elist of circumstances requiring sanitization of portable storage devices\u003c/p\u003e", + "\u003cp\u003emedia sanitization records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media sanitization responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for media sanitization of portable storage devices\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "mp-6.4", + "class": "SP800-53-enhancement", + "title": "Controlled Unclassified Information", + "links": [ + { + "rel": "related", + "href": "#mp-6" + } + ], + "props": [ + { + "class": "name", + "value": "MP-6 (4)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into MP-6\u003c/i\u003e \u003ci\u003eIncorporated into MP-6\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-6.5", + "class": "SP800-53-enhancement", + "title": "Classified Information", + "links": [ + { + "rel": "related", + "href": "#mp-6" + } + ], + "props": [ + { + "class": "name", + "value": "MP-6 (5)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into MP-6\u003c/i\u003e \u003ci\u003eIncorporated into MP-6\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-6.6", + "class": "SP800-53-enhancement", + "title": "Media Destruction", + "links": [ + { + "rel": "related", + "href": "#mp-6" + } + ], + "props": [ + { + "class": "name", + "value": "MP-6 (6)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into MP-6\u003c/i\u003e \u003ci\u003eIncorporated into MP-6\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-6.7", + "class": "SP800-53-enhancement", + "title": "Dual Authorization", + "params": [ + { + "id": "mp-6.7_prm_1", + "label": "organization-defined information system media" + } + ], + "props": [ + { + "class": "name", + "value": "MP-6 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization enforces dual authorization for the sanitization of \u003cinsert param-id=\"mp-6.7_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations employ dual authorization to ensure that information system media sanitization cannot occur unless two technically qualified individuals conduct the task. Individuals sanitizing information system media possess sufficient skills/expertise to determine if the proposed sanitization reflects applicable federal/organizational standards, policies, and procedures. Dual authorization also helps to ensure that sanitization occurs as intended, both protecting against errors and false claims of having performed the sanitization actions. Dual authorization may also be known as two-person control.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#mp-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-6.7_obj_7.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(7)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system media requiring dual authorization to be enforced for sanitization of such media; and\u003c/p\u003e" + ] + }, + { + "id": "mp-6.7_obj_7.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(7)[2]" + } + ], + "prose": [ + "\u003cp\u003eenforces dual authorization for the sanitization of organization-defined information system media.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp\u003elist of information system media requiring dual authorization for sanitization\u003c/p\u003e", + "\u003cp\u003eauthorization records\u003c/p\u003e", + "\u003cp\u003emedia sanitization records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media sanitization responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes requiring dual authorization for media sanitization\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing media sanitization\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing dual authorization\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "mp-6.8", + "class": "SP800-53-enhancement", + "title": "Remote Purging / Wiping of Information", + "params": [ + { + "id": "mp-6.8_prm_1", + "label": "organization-defined information systems, system components, or devices" + }, + { + "id": "mp-6.8_prm_2", + "label": "organization-defined conditions" + } + ], + "props": [ + { + "class": "name", + "value": "MP-6 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides the capability to purge/wipe information from \u003cinsert param-id=\"mp-6.8_prm_1\"/\u003e either remotely or under the following conditions: \u003cinsert param-id=\"mp-6.8_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects data/information on organizational information systems, system components, or devices (e.g., mobile devices) if such systems, components, or devices are obtained by unauthorized individuals. Remote purge/wipe commands require strong authentication to mitigate the risk of unauthorized individuals purging/wiping the system/component/device. The purge/wipe function can be implemented in a variety of ways including, for example, by overwriting data/information multiple times or by destroying the key necessary to decrypt encrypted data.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-6.8_obj_8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(8)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information systems, system components, or devices to purge/wipe either remotely or under specific organizational conditions;\u003c/p\u003e" + ] + }, + { + "id": "mp-6.8_obj_8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(8)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines conditions under which information is to be purged/wiped from organization-defined information systems, system components, or devices; and\u003c/p\u003e" + ] + }, + { + "id": "mp-6.8_obj_8.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(8)[3]" + } + ], + "prose": [ + "\u003cp\u003eprovides the capability to purge/wipe information from organization-defined information systems, system components, or devices either:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-6.8_obj_8.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(8)[3][a]" + } + ], + "prose": [ + "\u003cp\u003eremotely; or\u003c/p\u003e" + ] + }, + { + "id": "mp-6.8_obj_8.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-6(8)[3][b]" + } + ], + "prose": [ + "\u003cp\u003eunder organization-defined conditions.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media sanitization and disposal\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003emedia sanitization records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media sanitization responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for purging/wiping media\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing purge/wipe capabilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "mp-7", + "class": "SP800-53", + "title": "Media Use", + "params": [ + { + "id": "mp-7_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "restricts" + }, + { + "assignments": null, + "Value": "prohibits" + } + ] + } + }, + { + "id": "mp-7_prm_2", + "label": "organization-defined types of information system media" + }, + { + "id": "mp-7_prm_3", + "label": "organization-defined information systems or system components" + }, + { + "id": "mp-7_prm_4", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "MP-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization \u003cinsert param-id=\"mp-7_prm_1\"/\u003e the use of \u003cinsert param-id=\"mp-7_prm_2\"/\u003e on \u003cinsert param-id=\"mp-7_prm_3\"/\u003e using \u003cinsert param-id=\"mp-7_prm_4\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on information systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict the use of information system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#pl-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-7_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-7[1]" + } + ], + "prose": [ + "\u003cp\u003edefines types of information system media to be:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-7_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-7[1][a]" + } + ], + "prose": [ + "\u003cp\u003erestricted on information systems or system components; or\u003c/p\u003e" + ] + }, + { + "id": "mp-7_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-7[1][b]" + } + ], + "prose": [ + "\u003cp\u003eprohibited from use on information systems or system components;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-7_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-7[2]" + } + ], + "prose": [ + "\u003cp\u003edefines information systems or system components on which the use of organization-defined types of information system media is to be one of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-7_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-7[2][a]" + } + ], + "prose": [ + "\u003cp\u003erestricted; or\u003c/p\u003e" + ] + }, + { + "id": "mp-7_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-7[2][b]" + } + ], + "prose": [ + "\u003cp\u003eprohibited;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-7_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-7[3]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be employed to restrict or prohibit the use of organization-defined types of information system media on organization-defined information systems or system components; and\u003c/p\u003e" + ] + }, + { + "id": "mp-7_obj_4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-7[4]" + } + ], + "prose": [ + "\u003cp\u003erestricts or prohibits the use of organization-defined information system media on organization-defined information systems or system components using organization-defined security safeguards.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003esystem use policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media usage restrictions\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003erules of behavior\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media use responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for media use\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms restricting or prohibiting use of information system media on information systems or system components\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "mp-7.1", + "class": "SP800-53-enhancement", + "title": "Prohibit Use Without Owner", + "props": [ + { + "class": "name", + "value": "MP-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRequiring identifiable owners (e.g., individuals, organizations, or projects) for portable storage devices reduces the risk of using such technologies by allowing organizations to assign responsibility and accountability for addressing known vulnerabilities in the devices (e.g., malicious code insertion).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pl-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003esystem use policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media usage restrictions\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003erules of behavior\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media use responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for media use\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms prohibiting use of media on information systems or system components\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "mp-7.2", + "class": "SP800-53-enhancement", + "title": "Prohibit Use of Sanitization-resistant Media", + "props": [ + { + "class": "name", + "value": "MP-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization prohibits the use of sanitization-resistant media in organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSanitization-resistance applies to the capability to purge information from media. Certain types of media do not support sanitize commands, or if supported, the interfaces are not supported in a standardized way across these devices. Sanitization-resistant media include, for example, compact flash, embedded flash on boards and devices, solid state drives, and USB removable media.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#mp-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization prohibits the use of sanitization-resistant media in organizational information systems. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy, system use policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media usage restrictions\u003c/p\u003e", + "\u003cp\u003erules of behavior\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media use responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for media use\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms prohibiting use of media on information systems or system components\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "mp-8", + "class": "SP800-53", + "title": "Media Downgrading", + "params": [ + { + "id": "mp-8_prm_1", + "label": "organization-defined information system media downgrading process" + }, + { + "id": "mp-8_prm_2", + "label": "organization-defined strength and integrity" + }, + { + "id": "mp-8_prm_3", + "label": "organization-defined information system media requiring downgrading" + } + ], + "props": [ + { + "class": "name", + "value": "MP-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-8_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-8a." + } + ], + "prose": [ + "\u003cp\u003eEstablishes \u003cinsert param-id=\"mp-8_prm_1\"/\u003e that includes employing downgrading mechanisms with \u003cinsert param-id=\"mp-8_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "mp-8_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-8b." + } + ], + "prose": [ + "\u003cp\u003eEnsures that the information system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;\u003c/p\u003e" + ] + }, + { + "id": "mp-8_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-8c." + } + ], + "prose": [ + "\u003cp\u003eIdentifies \u003cinsert param-id=\"mp-8_prm_3\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "mp-8_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "MP-8d." + } + ], + "prose": [ + "\u003cp\u003eDowngrades the identified information system media using the established process.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to all information system media, digital and non-digital, subject to release outside of the organization, whether or not the media is considered removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading of media also ensures that empty space on the media (e.g., slack space within files) is devoid of information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-8_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(a)" + } + ], + "parts": [ + { + "id": "mp-8_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the information system media downgrading process;\u003c/p\u003e" + ] + }, + { + "id": "mp-8_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the strength and integrity with which media downgrading mechanisms are to be employed;\u003c/p\u003e" + ] + }, + { + "id": "mp-8_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eestablishes an organization-defined information system media downgrading process that includes employing downgrading mechanisms with organization-defined strength and integrity;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-8_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(b)" + } + ], + "prose": [ + "\u003cp\u003eensures that the information system media downgrading process is commensurate with the:\u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-8_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(b)[1]" + } + ], + "prose": [ + "\u003cp\u003esecurity category and/or classification level of the information to be removed;\u003c/p\u003e" + ] + }, + { + "id": "mp-8_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eaccess authorizations of the potential recipients of the downgraded information;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-8_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(c)" + } + ], + "prose": [ + "\u003cp\u003eidentifies/defines information system media requiring downgrading; and\u003c/p\u003e" + ] + }, + { + "id": "mp-8_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(d)" + } + ], + "prose": [ + "\u003cp\u003edowngrades the identified information system media using the established process.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media downgrading\u003c/p\u003e", + "\u003cp\u003esystem categorization documentation\u003c/p\u003e", + "\u003cp\u003elist of media requiring downgrading\u003c/p\u003e", + "\u003cp\u003erecords of media downgrading\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "mp-8.1", + "class": "SP800-53-enhancement", + "title": "Documentation of Process", + "props": [ + { + "class": "name", + "value": "MP-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization documents information system media downgrading actions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can document the media downgrading process by providing information such as the downgrading technique employed, the identification number of the downgraded media, and the identity of the individual that authorized and/or performed the downgrading action.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization documents information system media downgrading actions. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media downgrading\u003c/p\u003e", + "\u003cp\u003elist of media requiring downgrading\u003c/p\u003e", + "\u003cp\u003erecords of media downgrading\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "mp-8.2", + "class": "SP800-53-enhancement", + "title": "Equipment Testing", + "params": [ + { + "id": "mp-8.2_prm_1", + "label": "organization-defined tests" + }, + { + "id": "mp-8.2_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "MP-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"mp-8.2_prm_1\"/\u003e of downgrading equipment and procedures to verify correct performance \u003cinsert param-id=\"mp-8.2_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-8.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(2)[1]" + } + ], + "parts": [ + { + "id": "mp-8.2_obj_2.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(2)[1][a]" + } + ], + "prose": [ + "\u003cp\u003edefines tests to be employed for downgrading equipment;\u003c/p\u003e" + ] + }, + { + "id": "mp-8.2_obj_2.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(2)[1][b]" + } + ], + "prose": [ + "\u003cp\u003edefines procedures to verify correct performance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "mp-8.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency for employing tests of downgrading equipment and procedures to verify correct performance; and\u003c/p\u003e" + ] + }, + { + "id": "mp-8.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined tests of downgrading equipment and procedures to verify correct performance with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing media downgrading\u003c/p\u003e", + "\u003cp\u003eprocedures addressing testing of media downgrading equipment\u003c/p\u003e", + "\u003cp\u003eresults of downgrading equipment and procedures testing\u003c/p\u003e", + "\u003cp\u003eaudit records: other relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing tests for downgrading equipment\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "mp-8.3", + "class": "SP800-53-enhancement", + "title": "Controlled Unclassified Information", + "params": [ + { + "id": "mp-8.3_prm_1", + "label": "organization-defined Controlled Unclassified Information (CUI)" + } + ], + "props": [ + { + "class": "name", + "value": "MP-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization downgrades information system media containing \u003cinsert param-id=\"mp-8.3_prm_1\"/\u003e prior to public release in accordance with applicable federal and organizational standards and policies.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "mp-8.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines Controlled Unclassified Information (CUI) contained on information system media that requires downgrading prior to public release; and\u003c/p\u003e" + ] + }, + { + "id": "mp-8.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "MP-8(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edowngrades information system media containing organization-defined CUI prior to public release in accordance with applicable federal and organizational standards and policies.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eaccess authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing downgrading of media containing CUI\u003c/p\u003e", + "\u003cp\u003eapplicable federal and organizational standards and policies regarding protection of CUI\u003c/p\u003e", + "\u003cp\u003emedia downgrading records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "mp-8.4", + "class": "SP800-53-enhancement", + "title": "Classified Information", + "props": [ + { + "class": "name", + "value": "MP-8 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDowngrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified information systems to unclassified media.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system media protection policy\u003c/p\u003e", + "\u003cp\u003eaccess authorization policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing downgrading of media containing classified information\u003c/p\u003e", + "\u003cp\u003eprocedures addressing handling of classified information\u003c/p\u003e", + "\u003cp\u003eNSA standards and policies regarding protection of classified information\u003c/p\u003e", + "\u003cp\u003emedia downgrading records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information system media downgrading responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for media downgrading\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing media downgrading\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "Physical and Environmental Protection", + "controls": [ + { + "id": "pe-1", + "class": "SP800-53", + "title": "Physical and Environmental Protection Policy and Procedures", + "params": [ + { + "id": "pe-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "pe-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "pe-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"pe-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-1a.1." + } + ], + "prose": [ + "\u003cp\u003eA physical and environmental protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "pe-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-1b.1." + } + ], + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy \u003cinsert param-id=\"pe-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "pe-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-1b.2." + } + ], + "prose": [ + "\u003cp\u003ePhysical and environmental protection procedures \u003cinsert param-id=\"pe-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)" + } + ], + "parts": [ + { + "id": "pe-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents a physical and environmental protection policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "pe-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "pe-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "pe-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "pe-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "pe-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "pe-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the physical and environmental protection policy is to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "pe-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the physical and environmental protection policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(2)" + } + ], + "parts": [ + { + "id": "pe-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls;\u003c/p\u003e" + ] + }, + { + "id": "pe-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "pe-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(b)(1)" + } + ], + "parts": [ + { + "id": "pe-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current physical and environmental protection policy;\u003c/p\u003e" + ] + }, + { + "id": "pe-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current physical and environmental protection policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(b)(2)" + } + ], + "parts": [ + { + "id": "pe-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current physical and environmental protection procedures; and\u003c/p\u003e" + ] + }, + { + "id": "pe-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current physical and environmental protection procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical and environmental protection responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pe-2", + "class": "SP800-53", + "title": "Physical Access Authorizations", + "params": [ + { + "id": "pe-2_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-2a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, approves, and maintains a list of individuals with authorized access to the facility where the information system resides;\u003c/p\u003e" + ] + }, + { + "id": "pe-2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-2b." + } + ], + "prose": [ + "\u003cp\u003eIssues authorization credentials for facility access;\u003c/p\u003e" + ] + }, + { + "id": "pe-2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-2c." + } + ], + "prose": [ + "\u003cp\u003eReviews the access list detailing authorized facility access by individuals \u003cinsert param-id=\"pe-2_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "pe-2_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-2d." + } + ], + "prose": [ + "\u003cp\u003eRemoves individuals from the facility access list when access is no longer required.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed (including level of forge-proof badges, smart cards, or identification cards) consistent with federal standards, policies, and procedures. This control only applies to areas within facilities that have not been designated as publicly accessible.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#pe-4" + }, + { + "rel": "related", + "href": "#ps-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-2_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(a)" + } + ], + "parts": [ + { + "id": "pe-2_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops a list of individuals with authorized access to the facility where the information system resides;\u003c/p\u003e" + ] + }, + { + "id": "pe-2_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eapproves a list of individuals with authorized access to the facility where the information system resides;\u003c/p\u003e" + ] + }, + { + "id": "pe-2_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(a)[3]" + } + ], + "prose": [ + "\u003cp\u003emaintains a list of individuals with authorized access to the facility where the information system resides;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-2_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(b)" + } + ], + "prose": [ + "\u003cp\u003eissues authorization credentials for facility access;\u003c/p\u003e" + ] + }, + { + "id": "pe-2_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(c)" + } + ], + "parts": [ + { + "id": "pe-2_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review the access list detailing authorized facility access by individuals;\u003c/p\u003e" + ] + }, + { + "id": "pe-2_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(c)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews the access list detailing authorized facility access by individuals with the organization-defined frequency; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-2_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(d)" + } + ], + "prose": [ + "\u003cp\u003eremoves individuals from the facility access list when access is no longer required.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access authorizations\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eauthorized personnel access list\u003c/p\u003e", + "\u003cp\u003eauthorization credentials\u003c/p\u003e", + "\u003cp\u003ephysical access list reviews\u003c/p\u003e", + "\u003cp\u003ephysical access termination records and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with physical access to information system facility\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for physical access authorizations\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing physical access authorizations\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pe-2.1", + "class": "SP800-53-enhancement", + "title": "Access by Position / Role", + "props": [ + { + "class": "name", + "value": "PE-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization authorizes physical access to the facility where the information system resides based on position or role.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization authorizes physical access to the facility where the information system resides based on position or role. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access authorizations\u003c/p\u003e", + "\u003cp\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp\u003elist of positions/roles and corresponding physical access authorizations\u003c/p\u003e", + "\u003cp\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with physical access to information system facility\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for physical access authorizations\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing physical access authorizations\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-2.2", + "class": "SP800-53-enhancement", + "title": "Two Forms of Identification", + "params": [ + { + "id": "pe-2.2_prm_1", + "label": "organization-defined list of acceptable forms of identification" + } + ], + "props": [ + { + "class": "name", + "value": "PE-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires two forms of identification from \u003cinsert param-id=\"pe-2.2_prm_1\"/\u003e for visitor access to the facility where the information system resides.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAcceptable forms of government photo identification include, for example, passports, Personal Identity Verification (PIV) cards, and drivers’ licenses. In the case of gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ia-2" + }, + { + "rel": "related", + "href": "#ia-4" + }, + { + "rel": "related", + "href": "#ia-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-2.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a list of acceptable forms of identification for visitor access to the facility where the information system resides; and\u003c/p\u003e" + ] + }, + { + "id": "pe-2.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(2)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires two forms of identification from the organization-defined list of acceptable forms of identification for visitor access to the facility where the information system resides.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access authorizations\u003c/p\u003e", + "\u003cp\u003elist of acceptable forms of identification for visitor access to the facility where information system resides\u003c/p\u003e", + "\u003cp\u003eaccess authorization forms\u003c/p\u003e", + "\u003cp\u003eaccess credentials\u003c/p\u003e", + "\u003cp\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with physical access to information system facility\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for physical access authorizations\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing physical access authorizations\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-2.3", + "class": "SP800-53-enhancement", + "title": "Restrict Unescorted Access", + "params": [ + { + "id": "pe-2.3_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "security clearances for all information contained within the system" + }, + { + "assignments": null, + "Value": "formal access authorizations for all information contained within the system" + }, + { + "assignments": null, + "Value": "need for access to all information contained within the system" + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "pe-2.3_prm_2", + "dependsOn": "pe-2.3_prm_1", + "label": "organization-defined credentials" + } + ], + "props": [ + { + "class": "name", + "value": "PE-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization restricts unescorted access to the facility where the information system resides to personnel with \u003cinsert param-id=\"pe-2.3_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDue to the highly sensitive nature of classified information stored within certain facilities, it is important that individuals lacking sufficient security clearances, access approvals, or need to know, be escorted by individuals with appropriate credentials to ensure that such information is not exposed or otherwise compromised.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ps-2" + }, + { + "rel": "related", + "href": "#ps-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-2.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines credentials to be employed to restrict unescorted access to the facility where the information system resides to authorized personnel;\u003c/p\u003e" + ] + }, + { + "id": "pe-2.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(3)[2]" + } + ], + "prose": [ + "\u003cp\u003erestricts unescorted access to the facility where the information system resides to personnel with one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-2.3_obj_3.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(3)[2][a]" + } + ], + "prose": [ + "\u003cp\u003esecurity clearances for all information contained within the system;\u003c/p\u003e" + ] + }, + { + "id": "pe-2.3_obj_3.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(3)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eformal access authorizations for all information contained within the system;\u003c/p\u003e" + ] + }, + { + "id": "pe-2.3_obj_3.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(3)[2][c]" + } + ], + "prose": [ + "\u003cp\u003eneed for access to all information contained within the system; and/or\u003c/p\u003e" + ] + }, + { + "id": "pe-2.3_obj_3.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-2(3)[2][d]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined credentials.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access authorizations\u003c/p\u003e", + "\u003cp\u003eauthorized personnel access list\u003c/p\u003e", + "\u003cp\u003esecurity clearances\u003c/p\u003e", + "\u003cp\u003eaccess authorizations\u003c/p\u003e", + "\u003cp\u003eaccess credentials\u003c/p\u003e", + "\u003cp\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with physical access to information system facility\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for physical access authorizations\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing physical access authorizations\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "pe-3", + "class": "SP800-53", + "title": "Physical Access Control", + "params": [ + { + "id": "pe-3_prm_1", + "label": "organization-defined entry/exit points to the facility where the information system resides" + }, + { + "id": "pe-3_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "\n \n " + }, + { + "assignments": null, + "Value": "guards" + } + ] + } + }, + { + "id": "pe-3_prm_3", + "dependsOn": "pe-3_prm_2", + "label": "organization-defined physical access control systems/devices" + }, + { + "id": "pe-3_prm_4", + "label": "organization-defined entry/exit points" + }, + { + "id": "pe-3_prm_5", + "label": "organization-defined security safeguards" + }, + { + "id": "pe-3_prm_6", + "label": "organization-defined circumstances requiring visitor escorts and monitoring" + }, + { + "id": "pe-3_prm_7", + "label": "organization-defined physical access devices" + }, + { + "id": "pe-3_prm_8", + "label": "organization-defined frequency" + }, + { + "id": "pe-3_prm_9", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-3a." + } + ], + "prose": [ + "\u003cp\u003eEnforces physical access authorizations at \u003cinsert param-id=\"pe-3_prm_1\"/\u003e by;\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-3a.1." + } + ], + "prose": [ + "\u003cp\u003eVerifying individual access authorizations before granting access to the facility; and\u003c/p\u003e" + ] + }, + { + "id": "pe-3_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-3a.2." + } + ], + "prose": [ + "\u003cp\u003eControlling ingress/egress to the facility using \u003cinsert param-id=\"pe-3_prm_2\"/\u003e;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-3b." + } + ], + "prose": [ + "\u003cp\u003eMaintains physical access audit logs for \u003cinsert param-id=\"pe-3_prm_4\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-3c." + } + ], + "prose": [ + "\u003cp\u003eProvides \u003cinsert param-id=\"pe-3_prm_5\"/\u003e to control access to areas within the facility officially designated as publicly accessible;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-3d." + } + ], + "prose": [ + "\u003cp\u003eEscorts visitors and monitors visitor activity \u003cinsert param-id=\"pe-3_prm_6\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-3e." + } + ], + "prose": [ + "\u003cp\u003eSecures keys, combinations, and other physical access devices;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_smt_f", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-3f." + } + ], + "prose": [ + "\u003cp\u003eInventories \u003cinsert param-id=\"pe-3_prm_7\"/\u003e every \u003cinsert param-id=\"pe-3_prm_8\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "pe-3_smt_g", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-3g." + } + ], + "prose": [ + "\u003cp\u003eChanges combinations and keys \u003cinsert param-id=\"pe-3_prm_9\"/\u003e and/or when keys are lost, combinations are compromised, or individuals are transferred or terminated.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional physical security staff or other personnel such as administrative staff or information system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Safeguards for publicly accessible areas within organizational facilities include, for example, cameras, monitoring by guards, and isolating selected information systems and/or system components in secured areas. Physical access control systems comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The Federal Identity, Credential, and Access Management Program provides implementation guidance for identity, credential, and access management capabilities for physical access control systems. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g., a written log of individuals accessing the facility and when such access occurred), automated (e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points can include facility access points, interior access points to information systems and/or components requiring supplemental access controls, or both. Components of organizational information systems (e.g., workstations, terminals) may be located in areas designated as publicly accessible with organizations safeguarding access to such devices.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#mp-2" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#pe-2" + }, + { + "rel": "related", + "href": "#pe-4" + }, + { + "rel": "related", + "href": "#pe-5" + }, + { + "rel": "related", + "href": "#ps-3" + }, + { + "rel": "related", + "href": "#ra-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(a)" + } + ], + "parts": [ + { + "id": "pe-3_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines entry/exit points to the facility where the information system resides;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eenforces physical access authorizations at organization-defined entry/exit points to the facility where the information system resides by:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](1)" + } + ], + "prose": [ + "\u003cp\u003everifying individual access authorizations before granting access to the facility;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)" + } + ], + "parts": [ + { + "id": "pe-3_obj_a.2.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)[a]" + } + ], + "prose": [ + "\u003cp\u003edefining physical access control systems/devices to be employed to control ingress/egress to the facility where the information system resides;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_a.2.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)[b]" + } + ], + "prose": [ + "\u003cp\u003eusing one or more of the following ways to control ingress/egress to the facility:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3_obj_a.2.2.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)[b][1]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined physical access control systems/devices; and/or\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_a.2.2.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(a)[2](2)[b][2]" + } + ], + "prose": [ + "\u003cp\u003eguards;\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + } + ] + }, + { + "id": "pe-3_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(b)" + } + ], + "parts": [ + { + "id": "pe-3_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines entry/exit points for which physical access audit logs are to be maintained;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(b)[2]" + } + ], + "prose": [ + "\u003cp\u003emaintains physical access audit logs for organization-defined entry/exit points;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-3_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(c)" + } + ], + "parts": [ + { + "id": "pe-3_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be employed to control access to areas within the facility officially designated as publicly accessible;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(c)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides organization-defined security safeguards to control access to areas within the facility officially designated as publicly accessible;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-3_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(d)" + } + ], + "parts": [ + { + "id": "pe-3_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines circumstances requiring visitor:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3_obj_d.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(d)[1][a]" + } + ], + "prose": [ + "\u003cp\u003eescorts;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_d.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(d)[1][b]" + } + ], + "prose": [ + "\u003cp\u003emonitoring;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-3_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(d)[2]" + } + ], + "prose": [ + "\u003cp\u003ein accordance with organization-defined circumstances requiring visitor escorts and monitoring:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3_obj_d.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(d)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eescorts visitors;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_d.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(d)[2][b]" + } + ], + "prose": [ + "\u003cp\u003emonitors visitor activities;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-3_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(e)" + } + ], + "parts": [ + { + "id": "pe-3_obj_e.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(e)[1]" + } + ], + "prose": [ + "\u003cp\u003esecures keys;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_e.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(e)[2]" + } + ], + "prose": [ + "\u003cp\u003esecures combinations;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_e.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(e)[3]" + } + ], + "prose": [ + "\u003cp\u003esecures other physical access devices;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-3_obj_f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(f)" + } + ], + "parts": [ + { + "id": "pe-3_obj_f.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(f)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines physical access devices to be inventoried;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_f.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(f)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to inventory organization-defined physical access devices;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_f.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(f)[3]" + } + ], + "prose": [ + "\u003cp\u003einventories the organization-defined physical access devices with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-3_obj_g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(g)" + } + ], + "parts": [ + { + "id": "pe-3_obj_g.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(g)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to change combinations and keys; and\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_g.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(g)[2]" + } + ], + "prose": [ + "\u003cp\u003echanges combinations and keys with the organization-defined frequency and/or when:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3_obj_g.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(g)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ekeys are lost;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_g.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(g)[2][b]" + } + ], + "prose": [ + "\u003cp\u003ecombinations are compromised;\u003c/p\u003e" + ] + }, + { + "id": "pe-3_obj_g.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(g)[2][c]" + } + ], + "prose": [ + "\u003cp\u003eindividuals are transferred or terminated.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp\u003einventory records of physical access control devices\u003c/p\u003e", + "\u003cp\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp\u003erecords of key and lock combination changes\u003c/p\u003e", + "\u003cp\u003estorage locations for physical access control devices\u003c/p\u003e", + "\u003cp\u003ephysical access control devices\u003c/p\u003e", + "\u003cp\u003elist of security safeguards controlling access to designated publicly accessible areas within facility\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for physical access control\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing physical access control\u003c/p\u003e", + "\u003cp\u003ephysical access control devices\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pe-3.1", + "class": "SP800-53-enhancement", + "title": "Information System Access", + "params": [ + { + "id": "pe-3.1_prm_1", + "label": "organization-defined physical spaces containing one or more components of the information system" + } + ], + "props": [ + { + "class": "name", + "value": "PE-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization enforces physical access authorizations to the information system in addition to the physical access controls for the facility at \u003cinsert param-id=\"pe-3.1_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides additional physical security for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, data and communications centers).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ps-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines physical spaces containing one or more components of the information system; and\u003c/p\u003e" + ] + }, + { + "id": "pe-3.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eenforces physical access authorizations to the information system in addition to the physical access controls for the facility at organization-defined physical spaces containing one or more components of the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp\u003ephysical access control devices\u003c/p\u003e", + "\u003cp\u003eaccess authorizations\u003c/p\u003e", + "\u003cp\u003eaccess credentials\u003c/p\u003e", + "\u003cp\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp\u003elist of areas within the facility containing concentrations of information system components or information system components requiring additional physical protection\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access authorization responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for physical access control to the information system/components\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing physical access control for facility areas containing information system components\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-3.2", + "class": "SP800-53-enhancement", + "title": "Facility / Information System Boundaries", + "params": [ + { + "id": "pe-3.2_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization performs security checks \u003cinsert param-id=\"pe-3.2_prm_1\"/\u003e at the physical boundary of the facility or information system for unauthorized exfiltration of information or removal of information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#sc-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to perform security checks at the physical boundary of the facility or information system for:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3.2_obj_2.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(2)[1][a]" + } + ], + "prose": [ + "\u003cp\u003eunauthorized exfiltration of information; or\u003c/p\u003e" + ] + }, + { + "id": "pe-3.2_obj_2.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(2)[1][b]" + } + ], + "prose": [ + "\u003cp\u003eremoval of information system components; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-3.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eperforms security checks with the organization-defined frequency at the physical boundary of the facility or information system for:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3.2_obj_2.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(2)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eunauthorized exfiltration of information; or\u003c/p\u003e" + ] + }, + { + "id": "pe-3.2_obj_2.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(2)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eremoval of information system components.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp\u003erecords of security checks\u003c/p\u003e", + "\u003cp\u003esecurity audit reports\u003c/p\u003e", + "\u003cp\u003esecurity inspection reports\u003c/p\u003e", + "\u003cp\u003efacility layout documentation\u003c/p\u003e", + "\u003cp\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for physical access control to the facility and/or information system\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing physical access control for the facility or information system\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing security checks for unauthorized exfiltration of information\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-3.3", + "class": "SP800-53-enhancement", + "title": "Continuous Guards / Alarms / Monitoring", + "props": [ + { + "class": "name", + "value": "PE-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs guards and/or alarms to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#cp-6" + }, + { + "rel": "related", + "href": "#cp-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs one or more of the following to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(3)[1]" + } + ], + "prose": [ + "\u003cp\u003eguards; and/or\u003c/p\u003e" + ] + }, + { + "id": "pe-3.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ealarms.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp\u003ephysical access control devices\u003c/p\u003e", + "\u003cp\u003efacility surveillance records\u003c/p\u003e", + "\u003cp\u003efacility layout documentation\u003c/p\u003e", + "\u003cp\u003einformation system entry and exit points\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for physical access control to the facility where the information system resides\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing physical access control for the facility where the information system resides\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-3.4", + "class": "SP800-53-enhancement", + "title": "Lockable Casings", + "params": [ + { + "id": "pe-3.4_prm_1", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "PE-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization uses lockable physical casings to protect \u003cinsert param-id=\"pe-3.4_prm_1\"/\u003e from unauthorized physical access.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components to be protected from unauthorized physical access using lockable physical casings; and\u003c/p\u003e" + ] + }, + { + "id": "pe-3.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(4)[2]" + } + ], + "prose": [ + "\u003cp\u003euses lockable physical casings to protect organization-defined information system components from unauthorized physical access.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003elist of information system components requiring protection through lockable physical casings\u003c/p\u003e", + "\u003cp\u003elockable physical casings\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eLockable physical casings\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-3.5", + "class": "SP800-53-enhancement", + "title": "Tamper Protection", + "params": [ + { + "id": "pe-3.5_prm_1", + "label": "organization-defined security safeguards" + }, + { + "id": "pe-3.5_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "detect" + }, + { + "assignments": null, + "Value": "prevent" + } + ] + } + }, + { + "id": "pe-3.5_prm_3", + "label": "organization-defined hardware components" + } + ], + "props": [ + { + "class": "name", + "value": "PE-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"pe-3.5_prm_1\"/\u003e to \u003cinsert param-id=\"pe-3.5_prm_2\"/\u003e physical tampering or alteration of \u003cinsert param-id=\"pe-3.5_prm_3\"/\u003e within the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may implement tamper detection/prevention at selected hardware components or tamper detection at some components and tamper prevention at other components. Tamper detection/prevention activities can employ many types of anti-tamper technologies including, for example, tamper-detection seals and anti-tamper coatings. Anti-tamper programs help to detect hardware alterations through counterfeiting and other supply chain-related risks.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be employed to detect and/or prevent physical tampering or alteration of organization-defined hardware components within the information system;\u003c/p\u003e" + ] + }, + { + "id": "pe-3.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(5)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines hardware components within the information system for which security safeguards are to be employed to detect and/or prevent physical tampering or alteration of such components;\u003c/p\u003e" + ] + }, + { + "id": "pe-3.5_obj_5.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(5)[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined security safeguards to do one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3.5_obj_5.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(5)[3][a]" + } + ], + "prose": [ + "\u003cp\u003edetect physical tampering or alteration of organization-defined hardware components within the information system; and/or\u003c/p\u003e" + ] + }, + { + "id": "pe-3.5_obj_5.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(5)[3][b]" + } + ], + "prose": [ + "\u003cp\u003eprevent physical tampering or alteration of organization-defined hardware components within the information system.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp\u003elist of security safeguards to detect/prevent physical tampering or alteration of information system hardware components\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes to detect/prevent physical tampering or alteration of information system hardware components\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms/security safeguards supporting and/or implementing detection/prevention of physical tampering/alternation of information system hardware components\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-3.6", + "class": "SP800-53-enhancement", + "title": "Facility Penetration Testing", + "params": [ + { + "id": "pe-3.6_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs a penetration testing process that includes \u003cinsert param-id=\"pe-3.6_prm_1\"/\u003e, unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ca-2" + }, + { + "rel": "related", + "href": "#ca-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-3.6_obj_6.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(6)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency of unannounced attempts to be included in a penetration testing process to bypass or circumvent security controls associated with physical access points to the facility; and\u003c/p\u003e" + ] + }, + { + "id": "pe-3.6_obj_6.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-3(6)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys a penetration testing process with the organization-defined frequency that includes unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp\u003eprocedures addressing penetration testing\u003c/p\u003e", + "\u003cp\u003erules of engagement and associated documentation\u003c/p\u003e", + "\u003cp\u003epenetration test results\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for facility penetration testing\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing facility penetration testing\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pe-4", + "class": "SP800-53", + "title": "Access Control for Transmission Medium", + "params": [ + { + "id": "pe-4_prm_1", + "label": "organization-defined information system distribution and transmission lines" + }, + { + "id": "pe-4_prm_2", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "PE-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization controls physical access to \u003cinsert param-id=\"pe-4_prm_1\"/\u003e within organizational facilities using \u003cinsert param-id=\"pe-4_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysical security safeguards applied to information system distribution and transmission lines help to prevent accidental damage, disruption, and physical tampering. In addition, physical safeguards may be necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Security safeguards to control physical access to system distribution and transmission lines include, for example: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#mp-2" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#pe-2" + }, + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#pe-5" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#sc-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-4_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-4[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system distribution and transmission lines requiring physical access controls;\u003c/p\u003e" + ] + }, + { + "id": "pe-4_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-4[2]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be employed to control physical access to organization-defined information system distribution and transmission lines within organizational facilities; and\u003c/p\u003e" + ] + }, + { + "id": "pe-4_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-4[3]" + } + ], + "prose": [ + "\u003cp\u003econtrols physical access to organization-defined information system distribution and transmission lines within organizational facilities using organization-defined security safeguards.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access control for transmission medium\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003efacility communications and wiring diagrams\u003c/p\u003e", + "\u003cp\u003elist of physical security safeguards applied to information system distribution and transmission lines\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for access control to distribution and transmission lines\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pe-5", + "class": "SP800-53", + "title": "Access Control for Output Devices", + "props": [ + { + "class": "name", + "value": "PE-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eControlling physical access to output devices includes, for example, placing output devices in locked rooms or other secured areas and allowing access to authorized individuals only, and placing output devices in locations that can be monitored by organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of information system output devices.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-2" + }, + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#pe-4" + }, + { + "rel": "related", + "href": "#pe-18" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access control for display medium\u003c/p\u003e", + "\u003cp\u003efacility layout of information system components\u003c/p\u003e", + "\u003cp\u003eactual displays from information system components\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for access control to output devices\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing access control to output devices\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pe-5.1", + "class": "SP800-53-enhancement", + "title": "Access to Output by Authorized Individuals", + "params": [ + { + "id": "pe-5.1_prm_1", + "label": "organization-defined output devices" + } + ], + "props": [ + { + "class": "name", + "value": "PE-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-5.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-5 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eControls physical access to output from \u003cinsert param-id=\"pe-5.1_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "pe-5.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-5 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eEnsures that only authorized individuals receive output from the device.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eControlling physical access to selected output devices includes, for example, placing printers, copiers, and facsimile machines in controlled areas with keypad access controls or limiting access to individuals with certain types of badges.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-5.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-5(1)(a)" + } + ], + "parts": [ + { + "id": "pe-5.1_obj_1.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-5(1)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines output devices whose output requires physical access controls;\u003c/p\u003e" + ] + }, + { + "id": "pe-5.1_obj_1.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-5(1)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003econtrols physical access to output from organization-defined output devices; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-5.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-5(1)(b)" + } + ], + "prose": [ + "\u003cp\u003eensures that only authorized individuals receive output from the device.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp\u003elist of output devices and associated outputs requiring physical access controls\u003c/p\u003e", + "\u003cp\u003ephysical access control logs or records for areas containing output devices and related outputs\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for access control to output devices\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing access control to output devices\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-5.2", + "class": "SP800-53-enhancement", + "title": "Access to Output by Individual Identity", + "params": [ + { + "id": "pe-5.2_prm_1", + "label": "organization-defined output devices" + } + ], + "props": [ + { + "class": "name", + "value": "PE-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-5.2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-5 (2)(a)" + } + ], + "prose": [ + "\u003cp\u003eControls physical access to output from \u003cinsert param-id=\"pe-5.2_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "pe-5.2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-5 (2)(b)" + } + ], + "prose": [ + "\u003cp\u003eLinks individual identity to receipt of the output from the device.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eControlling physical access to selected output devices includes, for example, installing security functionality on printers, copiers, and facsimile machines that allows organizations to implement authentication (e.g., using a PIN or hardware token) on output devices prior to the release of output to individuals.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-5.2_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-5(2)(a)" + } + ], + "parts": [ + { + "id": "pe-5.2_obj_2.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-5(2)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines output devices whose output requires physical access controls;\u003c/p\u003e" + ] + }, + { + "id": "pe-5.2_obj_2.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-5(2)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system controls physical access to output from organization-defined output devices; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-5.2_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-5(2)(b)" + } + ], + "prose": [ + "\u003cp\u003ethe information system links individual identity to receipt of the output from the device.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of output devices and associated outputs requiring physical access controls\u003c/p\u003e", + "\u003cp\u003ephysical access control logs or records for areas containing output devices and related outputs\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for access control to output devices\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing access control to output devices\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-5.3", + "class": "SP800-53-enhancement", + "title": "Marking Output Devices", + "params": [ + { + "id": "pe-5.3_prm_1", + "label": "organization-defined information system output devices" + } + ], + "props": [ + { + "class": "name", + "value": "PE-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization marks \u003cinsert param-id=\"pe-5.3_prm_1\"/\u003e indicating the appropriate security marking of the information permitted to be output from the device.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOutputs devices include, for example, printers, monitors, facsimile machines, scanners, copiers, and audio devices. This control enhancement is generally applicable to information system output devices other than mobiles devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-5.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-5(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system output devices to be marked with appropriate security marking of the information permitted to be output from such devices; and\u003c/p\u003e" + ] + }, + { + "id": "pe-5.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-5(3)[2]" + } + ], + "prose": [ + "\u003cp\u003emarks organization-defined information system output devices indicating the appropriate security marking of the information permitted to be output from the device.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access control\u003c/p\u003e", + "\u003cp\u003esecurity markings for information types permitted as output from information system output devices\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for marking output devices\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "pe-6", + "class": "SP800-53", + "title": "Monitoring Physical Access", + "params": [ + { + "id": "pe-6_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "pe-6_prm_2", + "label": "organization-defined events or potential indications of events" + } + ], + "props": [ + { + "class": "name", + "value": "PE-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-6_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-6a." + } + ], + "prose": [ + "\u003cp\u003eMonitors physical access to the facility where the information system resides to detect and respond to physical security incidents;\u003c/p\u003e" + ] + }, + { + "id": "pe-6_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-6b." + } + ], + "prose": [ + "\u003cp\u003eReviews physical access logs \u003cinsert param-id=\"pe-6_prm_1\"/\u003e and upon occurrence of \u003cinsert param-id=\"pe-6_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "pe-6_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-6c." + } + ], + "prose": [ + "\u003cp\u003eCoordinates results of reviews and investigations with the organizational incident response capability.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, apparent security violations or suspicious physical access activities. Suspicious physical access activities include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#ir-4" + }, + { + "rel": "related", + "href": "#ir-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-6_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(a)" + } + ], + "prose": [ + "\u003cp\u003emonitors physical access to the facility where the information system resides to detect and respond to physical security incidents;\u003c/p\u003e" + ] + }, + { + "id": "pe-6_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(b)" + } + ], + "parts": [ + { + "id": "pe-6_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review physical access logs;\u003c/p\u003e" + ] + }, + { + "id": "pe-6_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines events or potential indication of events requiring physical access logs to be reviewed;\u003c/p\u003e" + ] + }, + { + "id": "pe-6_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(b)[3]" + } + ], + "prose": [ + "\u003cp\u003ereviews physical access logs with the organization-defined frequency and upon occurrence of organization-defined events or potential indications of events; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-6_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(c)" + } + ], + "prose": [ + "\u003cp\u003ecoordinates results of reviews and investigations with the organizational incident response capability.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003ephysical access logs or records\u003c/p\u003e", + "\u003cp\u003ephysical access monitoring records\u003c/p\u003e", + "\u003cp\u003ephysical access log reviews\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring physical access\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing physical access monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing reviewing of physical access logs\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pe-6.1", + "class": "SP800-53-enhancement", + "title": "Intrusion Alarms / Surveillance Equipment", + "props": [ + { + "class": "name", + "value": "PE-6 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization monitors physical intrusion alarms and surveillance equipment.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization monitors physical intrusion alarms and surveillance equipment. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003ephysical access logs or records\u003c/p\u003e", + "\u003cp\u003ephysical access monitoring records\u003c/p\u003e", + "\u003cp\u003ephysical access log reviews\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring physical intrusion alarms and surveillance equipment\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing physical access monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing physical intrusion alarms and surveillance equipment\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-6.2", + "class": "SP800-53-enhancement", + "title": "Automated Intrusion Recognition / Responses", + "params": [ + { + "id": "pe-6.2_prm_1", + "label": "organization-defined classes/types of intrusions" + }, + { + "id": "pe-6.2_prm_2", + "label": "organization-defined response actions" + } + ], + "props": [ + { + "class": "name", + "value": "PE-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to recognize \u003cinsert param-id=\"pe-6.2_prm_1\"/\u003e and initiate \u003cinsert param-id=\"pe-6.2_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-6.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines classes/types of intrusions to be recognized by automated mechanisms;\u003c/p\u003e" + ] + }, + { + "id": "pe-6.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines response actions to be initiated by automated mechanisms when organization-defined classes/types of intrusions are recognized; and\u003c/p\u003e" + ] + }, + { + "id": "pe-6.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms to recognize organization-defined classes/types of intrusions and initiate organization-defined response actions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003elist of response actions to be initiated when specific classes/types of intrusions are recognized\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring physical access\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing physical access monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing recognition of classes/types of intrusions and initiation of a response\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-6.3", + "class": "SP800-53-enhancement", + "title": "Video Surveillance", + "params": [ + { + "id": "pe-6.3_prm_1", + "label": "organization-defined operational areas" + }, + { + "id": "pe-6.3_prm_2", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "PE-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs video surveillance of \u003cinsert param-id=\"pe-6.3_prm_1\"/\u003e and retains video recordings for \u003cinsert param-id=\"pe-6.3_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on recording surveillance video for purposes of subsequent review, if circumstances so warrant (e.g., a break-in detected by other means). It does not require monitoring surveillance video although organizations may choose to do so. Note that there may be legal considerations when performing and retaining video surveillance, especially if such surveillance is in a public location.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-6.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines operational areas where video surveillance is to be employed;\u003c/p\u003e" + ] + }, + { + "id": "pe-6.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines a time period to retain video recordings of organization-defined operational areas;\u003c/p\u003e" + ] + }, + { + "id": "pe-6.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(3)[3]" + } + ], + "parts": [ + { + "id": "pe-6.3_obj_3.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(3)[3][a]" + } + ], + "prose": [ + "\u003cp\u003eemploys video surveillance of organization-defined operational areas; and\u003c/p\u003e" + ] + }, + { + "id": "pe-6.3_obj_3.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(3)[3][b]" + } + ], + "prose": [ + "\u003cp\u003eretains video recordings for the organization-defined time period.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp\u003evideo surveillance equipment used to monitor operational areas\u003c/p\u003e", + "\u003cp\u003evideo recordings of operational areas where video surveillance is employed\u003c/p\u003e", + "\u003cp\u003evideo surveillance equipment logs or records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring physical access\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing physical access monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing video surveillance\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-6.4", + "class": "SP800-53-enhancement", + "title": "Monitoring Physical Access to Information Systems", + "params": [ + { + "id": "pe-6.4_prm_1", + "label": "organization-defined physical spaces containing one or more components of the information system" + } + ], + "props": [ + { + "class": "name", + "value": "PE-6 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization monitors physical access to the information system in addition to the physical access monitoring of the facility as \u003cinsert param-id=\"pe-6.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides additional monitoring for those areas within facilities where there is a concentration of information system components (e.g., server rooms, media storage areas, communications centers).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ps-2" + }, + { + "rel": "related", + "href": "#ps-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-6.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines physical spaces containing one or more components of the information system; and\u003c/p\u003e" + ] + }, + { + "id": "pe-6.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-6(4)[2]" + } + ], + "prose": [ + "\u003cp\u003emonitors physical access to the information system in addition to the physical access monitoring of the facility at organization-defined physical spaces containing one or more components of the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing physical access monitoring\u003c/p\u003e", + "\u003cp\u003ephysical access control logs or records\u003c/p\u003e", + "\u003cp\u003ephysical access control devices\u003c/p\u003e", + "\u003cp\u003eaccess authorizations\u003c/p\u003e", + "\u003cp\u003eaccess credentials\u003c/p\u003e", + "\u003cp\u003elist of areas within the facility containing concentrations of information system components or information system components requiring additional physical access monitoring\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with physical access monitoring responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring physical access to the information system\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing physical access monitoring for facility areas containing information system components\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "pe-7", + "class": "SP800-53", + "title": "Visitor Control", + "links": [ + { + "rel": "related", + "href": "#pe-2" + }, + { + "rel": "related", + "href": "#pe-3" + } + ], + "props": [ + { + "class": "name", + "value": "PE-7" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into PE-2 and PE-3\u003c/i\u003e \u003ci\u003eIncorporated into PE-2 and PE-3\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-8", + "class": "SP800-53", + "title": "Visitor Access Records", + "params": [ + { + "id": "pe-8_prm_1", + "label": "organization-defined time period" + }, + { + "id": "pe-8_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-8" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-8_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-8a." + } + ], + "prose": [ + "\u003cp\u003eMaintains visitor access records to the facility where the information system resides for \u003cinsert param-id=\"pe-8_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "pe-8_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-8b." + } + ], + "prose": [ + "\u003cp\u003eReviews visitor access records \u003cinsert param-id=\"pe-8_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eVisitor access records include, for example, names and organizations of persons visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purposes of visits, and names and organizations of persons visited. Visitor access records are not required for publicly accessible areas.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-8_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-8(a)" + } + ], + "parts": [ + { + "id": "pe-8_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-8(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period to maintain visitor access records to the facility where the information system resides;\u003c/p\u003e" + ] + }, + { + "id": "pe-8_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-8(a)[2]" + } + ], + "prose": [ + "\u003cp\u003emaintains visitor access records to the facility where the information system resides for the organization-defined time period;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-8_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-8(b)" + } + ], + "parts": [ + { + "id": "pe-8_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-8(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review visitor access records; and\u003c/p\u003e" + ] + }, + { + "id": "pe-8_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-8(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews visitor access records with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing visitor access records\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003evisitor access control logs or records\u003c/p\u003e", + "\u003cp\u003evisitor access record or log reviews\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with visitor access records responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for maintaining and reviewing visitor access records\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing maintenance and review of visitor access records\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pe-8.1", + "class": "SP800-53-enhancement", + "title": "Automated Records Maintenance / Review", + "props": [ + { + "class": "name", + "value": "PE-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to facilitate the maintenance and review of visitor access records. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing visitor access records\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting management of visitor access records\u003c/p\u003e", + "\u003cp\u003evisitor access control logs or records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with visitor access records responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for maintaining and reviewing visitor access records\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing maintenance and review of visitor access records\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-8.2", + "class": "SP800-53-enhancement", + "title": "Physical Access Records", + "links": [ + { + "rel": "related", + "href": "#pe-2" + } + ], + "props": [ + { + "class": "name", + "value": "PE-8 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into PE-2\u003c/i\u003e \u003ci\u003eIncorporated into PE-2\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-9", + "class": "SP800-53", + "title": "Power Equipment and Cabling", + "props": [ + { + "class": "name", + "value": "PE-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization protects power equipment and power cabling for the information system from damage and destruction.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine the types of protection necessary for power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. This includes, for example, generators and power cabling outside of buildings, internal cabling and uninterruptable power sources within an office or data center, and power sources for self-contained entities such as vehicles and satellites.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization protects power equipment and power cabling for the information system from damage and destruction. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing power equipment/cabling protection\u003c/p\u003e", + "\u003cp\u003efacilities housing power equipment/cabling\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for protecting power equipment/cabling\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing protection of power equipment/cabling\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pe-9.1", + "class": "SP800-53-enhancement", + "title": "Redundant Cabling", + "params": [ + { + "id": "pe-9.1_prm_1", + "label": "organization-defined distance" + } + ], + "props": [ + { + "class": "name", + "value": "PE-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs redundant power cabling paths that are physically separated by \u003cinsert param-id=\"pe-9.1_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysically separate, redundant power cables help to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-9.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-9(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the distance by which redundant power cabling paths are to be physically separated; and\u003c/p\u003e" + ] + }, + { + "id": "pe-9.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-9(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys redundant power cabling paths that are physically separated by organization-defined distance.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing power equipment/cabling protection\u003c/p\u003e", + "\u003cp\u003efacilities housing power equipment/cabling\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for protecting power equipment/cabling\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing protection of power equipment/cabling\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-9.2", + "class": "SP800-53-enhancement", + "title": "Automatic Voltage Controls", + "params": [ + { + "id": "pe-9.2_prm_1", + "label": "organization-defined critical information system components" + } + ], + "props": [ + { + "class": "name", + "value": "PE-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automatic voltage controls for \u003cinsert param-id=\"pe-9.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-9.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-9(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines critical information system components that require automatic voltage controls; and\u003c/p\u003e" + ] + }, + { + "id": "pe-9.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-9(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys automatic voltage controls for organization-defined critical information system components.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing voltage control\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003elist of critical information system components requiring automatic voltage controls\u003c/p\u003e", + "\u003cp\u003eautomatic voltage control mechanisms and associated configurations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for environmental protection of information system components\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing automatic voltage controls\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "pe-10", + "class": "SP800-53", + "title": "Emergency Shutoff", + "params": [ + { + "id": "pe-10_prm_1", + "label": "organization-defined location by information system or system component" + } + ], + "props": [ + { + "class": "name", + "value": "PE-10" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-10_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-10a." + } + ], + "prose": [ + "\u003cp\u003eProvides the capability of shutting off power to the information system or individual system components in emergency situations;\u003c/p\u003e" + ] + }, + { + "id": "pe-10_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-10b." + } + ], + "prose": [ + "\u003cp\u003ePlaces emergency shutoff switches or devices in \u003cinsert param-id=\"pe-10_prm_1\"/\u003e to facilitate safe and easy access for personnel; and\u003c/p\u003e" + ] + }, + { + "id": "pe-10_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-10c." + } + ], + "prose": [ + "\u003cp\u003eProtects emergency power shutoff capability from unauthorized activation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-10_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-10(a)" + } + ], + "prose": [ + "\u003cp\u003eprovides the capability of shutting off power to the information system or individual system components in emergency situations;\u003c/p\u003e" + ] + }, + { + "id": "pe-10_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-10(b)" + } + ], + "parts": [ + { + "id": "pe-10_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-10(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the location of emergency shutoff switches or devices by information system or system component;\u003c/p\u003e" + ] + }, + { + "id": "pe-10_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-10(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eplaces emergency shutoff switches or devices in the organization-defined location by information system or system component to facilitate safe and easy access for personnel; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-10_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-10(c)" + } + ], + "prose": [ + "\u003cp\u003eprotects emergency power shutoff capability from unauthorized activation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing power source emergency shutoff\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eemergency shutoff controls or switches\u003c/p\u003e", + "\u003cp\u003elocations housing emergency shutoff switches and devices\u003c/p\u003e", + "\u003cp\u003esecurity safeguards protecting emergency power shutoff capability from unauthorized activation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for emergency power shutoff capability (both implementing and using the capability)\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing emergency power shutoff\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pe-10.1", + "class": "SP800-53-enhancement", + "title": "Accidental / Unauthorized Activation", + "links": [ + { + "rel": "related", + "href": "#pe-10" + } + ], + "props": [ + { + "class": "name", + "value": "PE-10 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into PE-10\u003c/i\u003e \u003ci\u003eIncorporated into PE-10\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-11", + "class": "SP800-53", + "title": "Emergency Power", + "params": [ + { + "id": "pe-11_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "an orderly shutdown of the information system" + }, + { + "assignments": null, + "Value": "transition of the information system to long-term alternate power" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "PE-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides a short-term uninterruptible power supply to facilitate \u003cinsert param-id=\"pe-11_prm_1\"/\u003e in the event of a primary power source loss.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#cp-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization provides a short-term uninterruptible power supply to facilitate one or more of the following in the event of a primary power source loss: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-11_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-11[1]" + } + ], + "prose": [ + "\u003cp\u003ean orderly shutdown of the information system; and/or\u003c/p\u003e" + ] + }, + { + "id": "pe-11_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-11[2]" + } + ], + "prose": [ + "\u003cp\u003etransition of the information system to long-term alternate power.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing emergency power\u003c/p\u003e", + "\u003cp\u003euninterruptible power supply\u003c/p\u003e", + "\u003cp\u003euninterruptible power supply documentation\u003c/p\u003e", + "\u003cp\u003euninterruptible power supply test records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for emergency power and/or planning\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing uninterruptible power supply\u003c/p\u003e", + "\u003cp\u003ethe uninterruptable power supply\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pe-11.1", + "class": "SP800-53-enhancement", + "title": "Long-term Alternate Power Supply - Minimal Operational Capability", + "props": [ + { + "class": "name", + "value": "PE-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement can be satisfied, for example, by the use of a secondary commercial power supply or other external power supply. Long-term alternate power supplies for the information system can be either manually or automatically activated.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing emergency power\u003c/p\u003e", + "\u003cp\u003ealternate power supply\u003c/p\u003e", + "\u003cp\u003ealternate power supply documentation\u003c/p\u003e", + "\u003cp\u003ealternate power supply test records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for emergency power and/or planning\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing alternate power supply\u003c/p\u003e", + "\u003cp\u003ethe alternate power supply\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-11.2", + "class": "SP800-53-enhancement", + "title": "Long-term Alternate Power Supply - Self-contained", + "params": [ + { + "id": "pe-11.2_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "minimally required operational capability" + }, + { + "assignments": null, + "Value": "full operational capability" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "PE-11 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides a long-term alternate power supply for the information system that is:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-11.2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-11 (2)(a)" + } + ], + "prose": [ + "\u003cp\u003eSelf-contained;\u003c/p\u003e" + ] + }, + { + "id": "pe-11.2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-11 (2)(b)" + } + ], + "prose": [ + "\u003cp\u003eNot reliant on external power generation; and\u003c/p\u003e" + ] + }, + { + "id": "pe-11.2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-11 (2)(c)" + } + ], + "prose": [ + "\u003cp\u003eCapable of maintaining \u003cinsert param-id=\"pe-11.2_prm_1\"/\u003e in the event of an extended loss of the primary power source.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement can be satisfied, for example, by the use of one or more generators with sufficient capacity to meet the needs of the organization. Long-term alternate power supplies for organizational information systems are either manually or automatically activated.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization provides a long-term alternate power supply for the information system that is: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-11.2_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-11(2)(a)" + } + ], + "prose": [ + "\u003cp\u003eself-contained;\u003c/p\u003e" + ] + }, + { + "id": "pe-11.2_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-11(2)(b)" + } + ], + "prose": [ + "\u003cp\u003enot reliant on external power generation;\u003c/p\u003e" + ] + }, + { + "id": "pe-11.2_obj_2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-11(2)(c)" + } + ], + "prose": [ + "\u003cp\u003ecapable of maintaining one of the following in the event of an extended loss of the primary power source:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-11.2_obj_2.c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-11(2)(c)[1]" + } + ], + "prose": [ + "\u003cp\u003eminimally required operational capability; or\u003c/p\u003e" + ] + }, + { + "id": "pe-11.2_obj_2.c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-11(2)(c)[2]" + } + ], + "prose": [ + "\u003cp\u003efull operational capability.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing emergency power\u003c/p\u003e", + "\u003cp\u003ealternate power supply\u003c/p\u003e", + "\u003cp\u003ealternate power supply documentation\u003c/p\u003e", + "\u003cp\u003ealternate power supply test records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for emergency power and/or planning\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing alternate power supply\u003c/p\u003e", + "\u003cp\u003ethe alternate power supply\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "pe-12", + "class": "SP800-53", + "title": "Emergency Lighting", + "props": [ + { + "class": "name", + "value": "PE-12" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#cp-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs and maintains automatic emergency lighting for the information system that: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-12_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-12[1]" + } + ], + "prose": [ + "\u003cp\u003eactivates in the event of a power outage or disruption; and\u003c/p\u003e" + ] + }, + { + "id": "pe-12_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-12[2]" + } + ], + "prose": [ + "\u003cp\u003ecovers emergency exits and evacuation routes within the facility.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing emergency lighting\u003c/p\u003e", + "\u003cp\u003eemergency lighting documentation\u003c/p\u003e", + "\u003cp\u003eemergency lighting test records\u003c/p\u003e", + "\u003cp\u003eemergency exits and evacuation routes\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for emergency lighting and/or planning\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing emergency lighting capability\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pe-12.1", + "class": "SP800-53-enhancement", + "title": "Essential Missions / Business Functions", + "props": [ + { + "class": "name", + "value": "PE-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing emergency lighting\u003c/p\u003e", + "\u003cp\u003eemergency lighting documentation\u003c/p\u003e", + "\u003cp\u003eemergency lighting test records\u003c/p\u003e", + "\u003cp\u003eemergency exits and evacuation routes\u003c/p\u003e", + "\u003cp\u003eareas/locations within facility supporting essential missions and business functions\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for emergency lighting and/or planning\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing emergency lighting capability\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "pe-13", + "class": "SP800-53", + "title": "Fire Protection", + "props": [ + { + "class": "name", + "value": "PE-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-13_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13[1]" + } + ], + "prose": [ + "\u003cp\u003eemploys fire suppression and detection devices/systems for the information system that are supported by an independent energy source; and\u003c/p\u003e" + ] + }, + { + "id": "pe-13_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13[2]" + } + ], + "prose": [ + "\u003cp\u003emaintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp\u003efire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp\u003efire suppression and detection devices/systems documentation\u003c/p\u003e", + "\u003cp\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for fire detection and suppression devices/systems\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing fire suppression/detection devices/systems\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pe-13.1", + "class": "SP800-53-enhancement", + "title": "Detection Devices / Systems", + "params": [ + { + "id": "pe-13.1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "pe-13.1_prm_2", + "label": "organization-defined emergency responders" + } + ], + "props": [ + { + "class": "name", + "value": "PE-13 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs fire detection devices/systems for the information system that activate automatically and notify \u003cinsert param-id=\"pe-13.1_prm_1\"/\u003e and \u003cinsert param-id=\"pe-13.1_prm_2\"/\u003e in the event of a fire.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-13.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to be notified in the event of a fire;\u003c/p\u003e" + ] + }, + { + "id": "pe-13.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines emergency responders to be notified in the event of a fire;\u003c/p\u003e" + ] + }, + { + "id": "pe-13.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(1)[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys fire detection devices/systems for the information system that, in the event of a fire,:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-13.1_obj_1.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(1)[3][a]" + } + ], + "prose": [ + "\u003cp\u003eactivate automatically;\u003c/p\u003e" + ] + }, + { + "id": "pe-13.1_obj_1.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(1)[3][b]" + } + ], + "prose": [ + "\u003cp\u003enotify organization-defined personnel or roles; and\u003c/p\u003e" + ] + }, + { + "id": "pe-13.1_obj_1.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(1)[3][c]" + } + ], + "prose": [ + "\u003cp\u003enotify organization-defined emergency responders.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp\u003efacility housing the information system\u003c/p\u003e", + "\u003cp\u003ealarm service-level agreements\u003c/p\u003e", + "\u003cp\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp\u003efire suppression and detection devices/systems documentation\u003c/p\u003e", + "\u003cp\u003ealerts/notifications of fire events\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for fire detection and suppression devices/systems\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for notifying appropriate personnel, roles, and emergency responders of fires\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing fire detection devices/systems\u003c/p\u003e", + "\u003cp\u003eactivation of fire detection devices/systems (simulated)\u003c/p\u003e", + "\u003cp\u003eautomated notifications\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-13.2", + "class": "SP800-53-enhancement", + "title": "Suppression Devices / Systems", + "params": [ + { + "id": "pe-13.2_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "pe-13.2_prm_2", + "label": "organization-defined emergency responders" + } + ], + "props": [ + { + "class": "name", + "value": "PE-13 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to \u003cinsert param-id=\"pe-13.2_prm_1\"/\u003e and \u003cinsert param-id=\"pe-13.2_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-13.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to be provided automatic notification of any activation of fire suppression devices/systems for the information system;\u003c/p\u003e" + ] + }, + { + "id": "pe-13.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines emergency responders to be provided automatic notification of any activation of fire suppression devices/systems for the information system;\u003c/p\u003e" + ] + }, + { + "id": "pe-13.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys fire suppression devices/systems for the information system that provide automatic notification of any activation to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-13.2_obj_2.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(2)[3][a]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined personnel or roles; and\u003c/p\u003e" + ] + }, + { + "id": "pe-13.2_obj_2.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(2)[3][b]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined emergency responders.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp\u003efire suppression and detection devices/systems documentation\u003c/p\u003e", + "\u003cp\u003efacility housing the information system\u003c/p\u003e", + "\u003cp\u003ealarm service-level agreements\u003c/p\u003e", + "\u003cp\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for fire detection and suppression devices/systems\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing fire suppression devices/systems\u003c/p\u003e", + "\u003cp\u003eactivation of fire suppression devices/systems (simulated)\u003c/p\u003e", + "\u003cp\u003eautomated notifications\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-13.3", + "class": "SP800-53-enhancement", + "title": "Automatic Fire Suppression", + "props": [ + { + "class": "name", + "value": "PE-13 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp\u003efire suppression and detection devices/systems documentation\u003c/p\u003e", + "\u003cp\u003efacility housing the information system\u003c/p\u003e", + "\u003cp\u003ealarm service-level agreements\u003c/p\u003e", + "\u003cp\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for fire detection and suppression devices/systems\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing fire suppression devices/systems\u003c/p\u003e", + "\u003cp\u003eactivation of fire suppression devices/systems (simulated)\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-13.4", + "class": "SP800-53-enhancement", + "title": "Inspections", + "params": [ + { + "id": "pe-13.4_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "pe-13.4_prm_2", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "PE-13 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that the facility undergoes \u003cinsert param-id=\"pe-13.4_prm_1\"/\u003e inspections by authorized and qualified inspectors and resolves identified deficiencies within \u003cinsert param-id=\"pe-13.4_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-13.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency of inspections to be conducted on the facility by authorized and qualified inspectors;\u003c/p\u003e" + ] + }, + { + "id": "pe-13.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that the facility undergoes inspections by authorized and qualified inspectors with the organization-defined frequency;\u003c/p\u003e" + ] + }, + { + "id": "pe-13.4_obj_4.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(4)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines a time period to resolve deficiencies identified when the facility undergoes such inspections; and\u003c/p\u003e" + ] + }, + { + "id": "pe-13.4_obj_4.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-13(4)[4]" + } + ], + "prose": [ + "\u003cp\u003eresolves identified deficiencies within the organization-defined time period.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing fire protection\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003efacility housing the information system\u003c/p\u003e", + "\u003cp\u003einspection plans\u003c/p\u003e", + "\u003cp\u003einspection results\u003c/p\u003e", + "\u003cp\u003einspect reports\u003c/p\u003e", + "\u003cp\u003etest records of fire suppression and detection devices/systems\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for planning, approving, and executing fire inspections\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "pe-14", + "class": "SP800-53", + "title": "Temperature and Humidity Controls", + "params": [ + { + "id": "pe-14_prm_1", + "label": "organization-defined acceptable levels" + }, + { + "id": "pe-14_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PE-14" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-14_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-14a." + } + ], + "prose": [ + "\u003cp\u003eMaintains temperature and humidity levels within the facility where the information system resides at \u003cinsert param-id=\"pe-14_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "pe-14_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-14b." + } + ], + "prose": [ + "\u003cp\u003eMonitors temperature and humidity levels \u003cinsert param-id=\"pe-14_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-14_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(a)" + } + ], + "parts": [ + { + "id": "pe-14_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines acceptable temperature levels to be maintained within the facility where the information system resides;\u003c/p\u003e" + ] + }, + { + "id": "pe-14_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines acceptable humidity levels to be maintained within the facility where the information system resides;\u003c/p\u003e" + ] + }, + { + "id": "pe-14_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(a)[3]" + } + ], + "prose": [ + "\u003cp\u003emaintains temperature levels within the facility where the information system resides at the organization-defined levels;\u003c/p\u003e" + ] + }, + { + "id": "pe-14_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(a)[4]" + } + ], + "prose": [ + "\u003cp\u003emaintains humidity levels within the facility where the information system resides at the organization-defined levels;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-14_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(b)" + } + ], + "parts": [ + { + "id": "pe-14_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to monitor temperature levels;\u003c/p\u003e" + ] + }, + { + "id": "pe-14_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to monitor humidity levels;\u003c/p\u003e" + ] + }, + { + "id": "pe-14_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(b)[3]" + } + ], + "prose": [ + "\u003cp\u003emonitors temperature levels with the organization-defined frequency; and\u003c/p\u003e" + ] + }, + { + "id": "pe-14_obj_b.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(b)[4]" + } + ], + "prose": [ + "\u003cp\u003emonitors humidity levels with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing temperature and humidity control\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003etemperature and humidity controls\u003c/p\u003e", + "\u003cp\u003efacility housing the information system\u003c/p\u003e", + "\u003cp\u003etemperature and humidity controls documentation\u003c/p\u003e", + "\u003cp\u003etemperature and humidity records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing maintenance and monitoring of temperature and humidity levels\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pe-14.1", + "class": "SP800-53-enhancement", + "title": "Automatic Controls", + "props": [ + { + "class": "name", + "value": "PE-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-14.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eemploys automatic temperature controls in the facility to prevent fluctuations potentially harmful to the information system; and\u003c/p\u003e" + ] + }, + { + "id": "pe-14.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys automatic humidity controls in the facility to prevent fluctuations potentially harmful to the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing temperature and humidity controls\u003c/p\u003e", + "\u003cp\u003efacility housing the information system\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for temperature and humidity\u003c/p\u003e", + "\u003cp\u003etemperature and humidity controls\u003c/p\u003e", + "\u003cp\u003etemperature and humidity documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing temperature and humidity levels\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-14.2", + "class": "SP800-53-enhancement", + "title": "Monitoring with Alarms / Notifications", + "props": [ + { + "class": "name", + "value": "PE-14 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-14.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(2)[1]" + } + ], + "prose": [ + "\u003cp\u003eemploys temperature monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or\u003c/p\u003e" + ] + }, + { + "id": "pe-14.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys temperature monitoring that provides notification of changes potentially harmful to personnel or equipment;\u003c/p\u003e" + ] + }, + { + "id": "pe-14.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys humidity monitoring that provides an alarm of changes potentially harmful to personnel or equipment; and/or\u003c/p\u003e" + ] + }, + { + "id": "pe-14.2_obj_2.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-14(2)[4]" + } + ], + "prose": [ + "\u003cp\u003eemploys humidity monitoring that provides notification of changes potentially harmful to personnel or equipment.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing temperature and humidity monitoring\u003c/p\u003e", + "\u003cp\u003efacility housing the information system\u003c/p\u003e", + "\u003cp\u003elogs or records of temperature and humidity monitoring\u003c/p\u003e", + "\u003cp\u003erecords of changes to temperature and humidity levels that generate alarms or notifications\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing temperature and humidity monitoring\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "pe-15", + "class": "SP800-53", + "title": "Water Damage Protection", + "props": [ + { + "class": "name", + "value": "PE-15" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-15_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-15[1]" + } + ], + "prose": [ + "\u003cp\u003eaccessible;\u003c/p\u003e" + ] + }, + { + "id": "pe-15_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-15[2]" + } + ], + "prose": [ + "\u003cp\u003eworking properly; and\u003c/p\u003e" + ] + }, + { + "id": "pe-15_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-15[3]" + } + ], + "prose": [ + "\u003cp\u003eknown to key personnel.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing water damage protection\u003c/p\u003e", + "\u003cp\u003efacility housing the information system\u003c/p\u003e", + "\u003cp\u003emaster shutoff valves\u003c/p\u003e", + "\u003cp\u003elist of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system\u003c/p\u003e", + "\u003cp\u003emaster shutoff valve documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eMaster water-shutoff valves\u003c/p\u003e", + "\u003cp\u003eorganizational process for activating master water-shutoff\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pe-15.1", + "class": "SP800-53-enhancement", + "title": "Automation Support", + "params": [ + { + "id": "pe-15.1_prm_1", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "PE-15 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to detect the presence of water in the vicinity of the information system and alerts \u003cinsert param-id=\"pe-15.1_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated mechanisms can include, for example, water detection sensors, alarms, and notification systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-15.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-15(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to be alerted when the presence of water is detected in the vicinity of the information system;\u003c/p\u003e" + ] + }, + { + "id": "pe-15.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-15(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms to detect the presence of water in the vicinity of the information system; and\u003c/p\u003e" + ] + }, + { + "id": "pe-15.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-15(1)[3]" + } + ], + "prose": [ + "\u003cp\u003ealerts organization-defined personnel or roles when the presence of water is detected in the vicinity of the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing water damage protection\u003c/p\u003e", + "\u003cp\u003efacility housing the information system\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for water shutoff valves\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms detecting presence of water in vicinity of information system\u003c/p\u003e", + "\u003cp\u003ealerts/notifications of water detection in information system 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information system components" + } + ], + "props": [ + { + "class": "name", + "value": "PE-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization authorizes, monitors, and controls \u003cinsert param-id=\"pe-16_prm_1\"/\u003e entering and exiting the facility and maintains records of those items.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEffectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#ma-2" + }, + { + "rel": "related", + "href": "#ma-3" + }, + { + "rel": "related", + "href": "#mp-5" + }, + { + "rel": "related", + "href": "#sa-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the 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"prose": [ + "\u003cp\u003econtrols organization-defined information system components entering the facility;\u003c/p\u003e" + ] + }, + { + "id": "pe-16_obj_5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-16[5]" + } + ], + "prose": [ + "\u003cp\u003eauthorizes organization-defined information system components exiting the facility;\u003c/p\u003e" + ] + }, + { + "id": "pe-16_obj_6", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-16[6]" + } + ], + "prose": [ + "\u003cp\u003emonitors organization-defined information system components exiting the facility;\u003c/p\u003e" + ] + }, + { + "id": "pe-16_obj_7", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-16[7]" + } + ], + "prose": [ + "\u003cp\u003econtrols organization-defined information system components exiting the facility;\u003c/p\u003e" + ] + }, + { + "id": "pe-16_obj_8", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-16[8]" + } + ], + "prose": [ + "\u003cp\u003emaintains records of information system components entering the facility; and\u003c/p\u003e" + ] + }, + { + "id": "pe-16_obj_9", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-16[9]" + } + ], + "prose": [ + "\u003cp\u003emaintains records of information system components exiting the facility.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing delivery and removal of information system components from the facility\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003efacility housing the information system\u003c/p\u003e", + "\u003cp\u003erecords of items entering and exiting the facility\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for controlling information system components entering and exiting the facility\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational process for authorizing, monitoring, and controlling information system-related items entering and exiting the facility\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing authorizing, monitoring, and controlling information system-related items entering and exiting the facility\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pe-17", + "class": "SP800-53", + "title": "Alternate Work Site", + "params": [ + { + "id": "pe-17_prm_1", + "label": "organization-defined security controls" + } + ], + "props": [ + { + "class": "name", + "value": "PE-17" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-17_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-17a." + } + ], + "prose": [ + "\u003cp\u003eEmploys \u003cinsert param-id=\"pe-17_prm_1\"/\u003e at alternate work sites;\u003c/p\u003e" + ] + }, + { + "id": "pe-17_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-17b." + } + ], + "prose": [ + "\u003cp\u003eAssesses as feasible, the effectiveness of security controls at alternate work sites; and\u003c/p\u003e" + ] + }, + { + "id": "pe-17_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-17c." + } + ], + "prose": [ + "\u003cp\u003eProvides a means for employees to communicate with information security personnel in case of security incidents or problems.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlternate work sites may include, for example, government facilities or private residences of employees. While commonly distinct from alternative processing sites, alternate work sites may provide readily available alternate locations as part of contingency operations. Organizations may define different sets of security controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations and the federal telework initiative.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#cp-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-17_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-17(a)" + } + ], + "parts": [ + { + "id": "pe-17_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-17(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security controls to be employed at alternate work sites;\u003c/p\u003e" + ] + }, + { + "id": "pe-17_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-17(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined security controls at alternate work sites;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-17_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-17(b)" + } + ], + "prose": [ + "\u003cp\u003eassesses, as feasible, the effectiveness of security controls at alternate work sites; and\u003c/p\u003e" + ] + }, + { + "id": "pe-17_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-17(c)" + } + ], + "prose": [ + "\u003cp\u003eprovides a means for employees to communicate with information security personnel in case of security incidents or problems.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing alternate work sites for organizational personnel\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003elist of security controls required for alternate work sites\u003c/p\u003e", + "\u003cp\u003eassessments of security controls at alternate work sites\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel approving use of alternate work sites\u003c/p\u003e", + "\u003cp\u003eorganizational personnel using alternate work sites\u003c/p\u003e", + "\u003cp\u003eorganizational personnel assessing controls at alternate work sites\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for security at alternate work sites\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting alternate work sites\u003c/p\u003e", + "\u003cp\u003esecurity controls employed at alternate work sites\u003c/p\u003e", + "\u003cp\u003emeans of communications between personnel at alternate work sites and security personnel\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pe-18", + "class": "SP800-53", + "title": "Location of Information System Components", + "params": [ + { + "id": "pe-18_prm_1", + "label": "organization-defined physical and environmental hazards" + } + ], + "props": [ + { + "class": "name", + "value": "PE-18" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization positions information system components within the facility to minimize potential damage from \u003cinsert param-id=\"pe-18_prm_1\"/\u003e and to minimize the opportunity for unauthorized access.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysical and environmental hazards include, for example, flooding, fire, tornados, earthquakes, hurricanes, acts of terrorism, vandalism, electromagnetic pulse, electrical interference, and other forms of incoming electromagnetic radiation. In addition, organizations consider the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to information systems and therefore increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#pe-19" + }, + { + "rel": "related", + "href": "#ra-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-18_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-18[1]" + } + ], + "prose": [ + "\u003cp\u003edefines physical hazards that could result in potential damage to information system components within the facility;\u003c/p\u003e" + ] + }, + { + "id": "pe-18_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-18[2]" + } + ], + "prose": [ + "\u003cp\u003edefines environmental hazards that could result in potential damage to information system components within the facility;\u003c/p\u003e" + ] + }, + { + "id": "pe-18_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-18[3]" + } + ], + "prose": [ + "\u003cp\u003epositions information system components within the facility to minimize potential damage from organization-defined physical and environmental hazards; and\u003c/p\u003e" + ] + }, + { + "id": "pe-18_obj_4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-18[4]" + } + ], + "prose": [ + "\u003cp\u003epositions information system components within the facility to minimize the opportunity for unauthorized access.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing positioning of information system components\u003c/p\u003e", + "\u003cp\u003edocumentation providing the location and position of information system components within the facility\u003c/p\u003e", + "\u003cp\u003elocations housing information system components within the facility\u003c/p\u003e", + "\u003cp\u003elist of physical and environmental hazards with potential to damage information system components within the facility\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for positioning information system components\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for positioning information system components\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pe-18.1", + "class": "SP800-53-enhancement", + "title": "Facility Site", + "props": [ + { + "class": "name", + "value": "PE-18 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#pm-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-18.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-18(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eplans the location or site of the facility where the information system resides with regard to physical hazards;\u003c/p\u003e" + ] + }, + { + "id": "pe-18.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-18(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eplans the location or site of the facility where the information system resides with regard to environmental hazards;\u003c/p\u003e" + ] + }, + { + "id": "pe-18.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-18(1)[3]" + } + ], + "prose": [ + "\u003cp\u003efor existing facilities, considers the physical hazards in its risk mitigation strategy; and\u003c/p\u003e" + ] + }, + { + "id": "pe-18.1_obj_1.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-18(1)[4]" + } + ], + "prose": [ + "\u003cp\u003efor existing facilities, considers the environmental hazards in its risk mitigation strategy.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003ephysical site planning documents\u003c/p\u003e", + "\u003cp\u003eorganizational assessment of risk, contingency plan\u003c/p\u003e", + "\u003cp\u003erisk mitigation strategy documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with site selection responsibilities for the facility housing the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with risk mitigation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for site planning\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "pe-19", + "class": "SP800-53", + "title": "Information Leakage", + "props": [ + { + "class": "name", + "value": "PE-19" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization protects the information system from information leakage due to electromagnetic signals emanations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation leakage is the intentional or unintentional release of information to an untrusted environment from electromagnetic signals emanations. Security categories or classifications of information systems (with respect to confidentiality) and organizational security policies guide the selection of security controls employed to protect systems against information leakage due to electromagnetic signals emanations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization protects the information system from information leakage due to electromagnetic signals emanations. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information leakage due to electromagnetic signals emanations\u003c/p\u003e", + "\u003cp\u003emechanisms protecting the information system against electronic signals emanation\u003c/p\u003e", + "\u003cp\u003efacility housing the information system\u003c/p\u003e", + "\u003cp\u003erecords from electromagnetic signals emanation tests\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing protection from information leakage due to electromagnetic signals emanations\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pe-19.1", + "class": "SP800-53-enhancement", + "title": "National Emissions / Tempest Policies and Procedures", + "props": [ + { + "class": "name", + "value": "PE-19 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that information system components, associated data communications, and networks are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization ensures that the following are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-19.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-19(1)[1]" + } + ], + "prose": [ + "\u003cp\u003einformation system components;\u003c/p\u003e" + ] + }, + { + "id": "pe-19.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-19(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eassociated data communications; and\u003c/p\u003e" + ] + }, + { + "id": "pe-19.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-19(1)[3]" + } + ], + "prose": [ + "\u003cp\u003enetworks.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information leakage that comply with national emissions and TEMPEST policies and procedures\u003c/p\u003e", + "\u003cp\u003einformation system component design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation other relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibilities for information system environmental controls\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system components for compliance with national emissions and TEMPEST policies and procedures\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pe-20", + "class": "SP800-53", + "title": "Asset Monitoring and Tracking", + "params": [ + { + "id": "pe-20_prm_1", + "label": "organization-defined asset location technologies" + }, + { + "id": "pe-20_prm_2", + "label": "organization-defined assets" + }, + { + "id": "pe-20_prm_3", + "label": "organization-defined controlled areas" + } + ], + "props": [ + { + "class": "name", + "value": "PE-20" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-20_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-20a." + } + ], + "prose": [ + "\u003cp\u003eEmploys \u003cinsert param-id=\"pe-20_prm_1\"/\u003e to track and monitor the location and movement of \u003cinsert param-id=\"pe-20_prm_2\"/\u003e within \u003cinsert param-id=\"pe-20_prm_3\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "pe-20_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PE-20b." + } + ], + "prose": [ + "\u003cp\u003eEnsures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAsset location technologies can help organizations ensure that critical assets such as vehicles or essential information system components remain in authorized locations. Organizations consult with the Office of the General Counsel and the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) regarding the deployment and use of asset location technologies to address potential privacy concerns.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pe-20_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-20(a)" + } + ], + "parts": [ + { + "id": "pe-20_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-20(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines assets whose location and movement are to be tracked and monitored;\u003c/p\u003e" + ] + }, + { + "id": "pe-20_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-20(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines asset location technologies to be employed to track and monitor the location and movement of organization-defined assets;\u003c/p\u003e" + ] + }, + { + "id": "pe-20_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-20(a)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines controlled areas within which to track and monitor organization-defined assets;\u003c/p\u003e" + ] + }, + { + "id": "pe-20_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-20(a)[4]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined asset location technologies to track and monitor the location and movement of organization-defined assets within organization-defined controlled areas; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pe-20_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PE-20(b)" + } + ], + "prose": [ + "\u003cp\u003eensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards and guidance.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePhysical and environmental protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing asset monitoring and tracking\u003c/p\u003e", + "\u003cp\u003easset location technologies and associated configuration documentation\u003c/p\u003e", + "\u003cp\u003elist of organizational assets requiring tracking and monitoring\u003c/p\u003e", + "\u003cp\u003easset monitoring and tracking records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with asset monitoring and tracking responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for tracking and monitoring assets\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing tracking and monitoring of assets\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "Planning", + "controls": [ + { + "id": "pl-1", + "class": "SP800-53", + "title": "Security Planning Policy and Procedures", + "params": [ + { + "id": "pl-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "pl-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "pl-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"pl-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-1a.1." + } + ], + "prose": [ + "\u003cp\u003eA security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "pl-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the security planning policy and associated security planning controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-1b.1." + } + ], + "prose": [ + "\u003cp\u003eSecurity planning policy \u003cinsert param-id=\"pl-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "pl-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-1b.2." + } + ], + "prose": [ + "\u003cp\u003eSecurity planning procedures \u003cinsert param-id=\"pl-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PL family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)" + } + ], + "parts": [ + { + "id": "pl-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents a planning policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "pl-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "pl-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "pl-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "pl-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "pl-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "pl-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the planning policy is to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "pl-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the planning policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(2)" + } + ], + "parts": [ + { + "id": "pl-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the planning policy and associated planning controls;\u003c/p\u003e" + ] + }, + { + "id": "pl-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "pl-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(b)(1)" + } + ], + "parts": [ + { + "id": "pl-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current planning policy;\u003c/p\u003e" + ] + }, + { + "id": "pl-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current planning policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(b)(2)" + } + ], + "parts": [ + { + "id": "pl-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current planning procedures; and\u003c/p\u003e" + ] + }, + { + "id": "pl-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current planning procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePlanning policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with planning responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pl-2", + "class": "SP800-53", + "title": "System Security Plan", + "params": [ + { + "id": "pl-2_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "pl-2_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-2" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-2a." + } + ], + "prose": [ + "\u003cp\u003eDevelops a security plan for the information system that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-2_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-2a.1." + } + ], + "prose": [ + "\u003cp\u003eIs consistent with the organization’s enterprise architecture;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-2a.2." + } + ], + "prose": [ + "\u003cp\u003eExplicitly defines the authorization boundary for the system;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_smt_a.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-2a.3." + } + ], + "prose": [ + "\u003cp\u003eDescribes the operational context of the information system in terms of missions and business processes;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_smt_a.4", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-2a.4." + } + ], + "prose": [ + "\u003cp\u003eProvides the security categorization of the information system including supporting rationale;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_smt_a.5", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-2a.5." + } + ], + "prose": [ + "\u003cp\u003eDescribes the operational environment for the information system and relationships with or connections to other information systems;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_smt_a.6", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-2a.6." + } + ], + "prose": [ + "\u003cp\u003eProvides an overview of the security requirements for the system;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_smt_a.7", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-2a.7." + } + ], + "prose": [ + "\u003cp\u003eIdentifies any relevant overlays, if applicable;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_smt_a.8", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-2a.8." + } + ], + "prose": [ + "\u003cp\u003eDescribes the security controls in place or planned for meeting those requirements including a rationale for the tailoring decisions; and\u003c/p\u003e" + ] + }, + { + "id": "pl-2_smt_a.9", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-2a.9." + } + ], + "prose": [ + "\u003cp\u003eIs reviewed and approved by the authorizing official or designated representative prior to plan implementation;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-2b." + } + ], + "prose": [ + "\u003cp\u003eDistributes copies of the security plan and communicates subsequent changes to the plan to \u003cinsert param-id=\"pl-2_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-2c." + } + ], + "prose": [ + "\u003cp\u003eReviews the security plan for the information system \u003cinsert param-id=\"pl-2_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-2d." + } + ], + "prose": [ + "\u003cp\u003eUpdates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments; and\u003c/p\u003e" + ] + }, + { + "id": "pl-2_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-2e." + } + ], + "prose": [ + "\u003cp\u003eProtects the security plan from unauthorized disclosure and modification.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity plans relate security requirements to a set of security controls and control enhancements. Security plans also describe, at a high level, how the security controls and control enhancements meet those security requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls/enhancements. Security plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the security control baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide use or to address specialized requirements, technologies, or missions/environments of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access Management, space operations). Appendix I provides guidance on developing overlays. Security plans need not be single documents; the plans can be a collection of various documents including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. For example, security plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#ac-14" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#ac-20" + }, + { + "rel": "related", + "href": "#ca-2" + }, + { + "rel": "related", + "href": "#ca-3" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cm-9" + }, + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#ir-8" + }, + { + "rel": "related", + "href": "#ma-4" + }, + { + "rel": "related", + "href": "#ma-5" + }, + { + "rel": "related", + "href": "#mp-2" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#mp-5" + }, + { + "rel": "related", + "href": "#pl-7" + }, + { + "rel": "related", + "href": "#pm-1" + }, + { + "rel": "related", + "href": "#pm-7" + }, + { + "rel": "related", + "href": "#pm-8" + }, + { + "rel": "related", + "href": "#pm-9" + }, + { + "rel": "related", + "href": "#pm-11" + }, + { + "rel": "related", + "href": "#sa-5" + }, + { + "rel": "related", + "href": "#sa-17" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-2_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(a)" + } + ], + "prose": [ + "\u003cp\u003edevelops a security plan for the information system that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-2_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(a)(1)" + } + ], + "prose": [ + "\u003cp\u003eis consistent with the organization’s enterprise architecture;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(a)(2)" + } + ], + "prose": [ + "\u003cp\u003eexplicitly defines the authorization boundary for the system;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(a)(3)" + } + ], + "prose": [ + "\u003cp\u003edescribes the operational context of the information system in terms of missions and business processes;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(a)(4)" + } + ], + "prose": [ + "\u003cp\u003eprovides the security categorization of the information system including supporting rationale;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_obj_a.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(a)(5)" + } + ], + "prose": [ + "\u003cp\u003edescribes the operational environment for the information system and relationships with or connections to other information systems;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_obj_a.6", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(a)(6)" + } + ], + "prose": [ + "\u003cp\u003eprovides an overview of the security requirements for the system;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_obj_a.7", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(a)(7)" + } + ], + "prose": [ + "\u003cp\u003eidentifies any relevant overlays, if applicable;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_obj_a.8", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(a)(8)" + } + ], + "prose": [ + "\u003cp\u003edescribes the security controls in place or planned for meeting those requirements including a rationale for the tailoring and supplemental decisions;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_obj_a.9", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(a)(9)" + } + ], + "prose": [ + "\u003cp\u003eis reviewed and approved by the authorizing official or designated representative prior to plan implementation;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-2_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(b)" + } + ], + "parts": [ + { + "id": "pl-2_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom copies of the security plan are to be distributed and subsequent changes to the plan are to be communicated;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edistributes copies of the security plan and communicates subsequent changes to the plan to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-2_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(c)" + } + ], + "parts": [ + { + "id": "pl-2_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review the security plan for the information system;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(c)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews the security plan for the information system with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-2_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(d)" + } + ], + "prose": [ + "\u003cp\u003eupdates the plan to address:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-2_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(d)[1]" + } + ], + "prose": [ + "\u003cp\u003echanges to the information system/environment of operation;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(d)[2]" + } + ], + "prose": [ + "\u003cp\u003eproblems identified during plan implementation;\u003c/p\u003e" + ] + }, + { + "id": "pl-2_obj_d.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(d)[3]" + } + ], + "prose": [ + "\u003cp\u003eproblems identified during security control assessments;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-2_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(e)" + } + ], + "prose": [ + "\u003cp\u003eprotects the security plan from unauthorized:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-2_obj_e.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(e)[1]" + } + ], + "prose": [ + "\u003cp\u003edisclosure; and\u003c/p\u003e" + ] + }, + { + "id": "pl-2_obj_e.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(e)[2]" + } + ], + "prose": [ + "\u003cp\u003emodification.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security plan development and implementation\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security plan reviews and updates\u003c/p\u003e", + "\u003cp\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp\u003erecords of security plan reviews and updates\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for security plan development/review/update/approval\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting the information system security plan\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pl-2.1", + "class": "SP800-53-enhancement", + "title": "Concept of Operations", + "links": [ + { + "rel": "related", + "href": "#pl-7" + } + ], + "props": [ + { + "class": "name", + "value": "PL-2 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into PL-7\u003c/i\u003e \u003ci\u003eIncorporated into PL-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-2.2", + "class": "SP800-53-enhancement", + "title": "Functional Architecture", + "links": [ + { + "rel": "related", + "href": "#pl-8" + } + ], + "props": [ + { + "class": "name", + "value": "PL-2 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into PL-8\u003c/i\u003e \u003ci\u003eIncorporated into PL-8\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-2.3", + "class": "SP800-53-enhancement", + "title": "Plan / Coordinate with Other Organizational Entities", + "params": [ + { + "id": "pl-2.3_prm_1", + "label": "organization-defined individuals or groups" + } + ], + "props": [ + { + "class": "name", + "value": "PL-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization plans and coordinates security-related activities affecting the information system with \u003cinsert param-id=\"pl-2.3_prm_1\"/\u003e before conducting such activities in order to reduce the impact on other organizational entities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity-related activities include, for example, security assessments, audits, hardware and software maintenance, patch management, and contingency plan testing. Advance planning and coordination includes emergency and nonemergency (i.e., planned or nonurgent unplanned) situations. The process defined by organizations to plan and coordinate security-related activities can be included in security plans for information systems or other documents, as appropriate.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-4" + }, + { + "rel": "related", + "href": "#ir-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-2.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines individuals or groups with whom security-related activities affecting the information system are to be planned and coordinated before conducting such activities in order to reduce the impact on other organizational entities; and\u003c/p\u003e" + ] + }, + { + "id": "pl-2.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-2(3)[2]" + } + ], + "prose": [ + "\u003cp\u003eplans and coordinates security-related activities affecting the information system with organization-defined individuals or groups before conducting such activities in order to reduce the impact on other organizational entities.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy\u003c/p\u003e", + "\u003cp\u003econtingency planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security-related activity planning for the information system\u003c/p\u003e", + "\u003cp\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp\u003econtingency plan for the information system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational individuals or groups with whom security-related activities are to be planned and coordinated\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pl-3", + "class": "SP800-53", + "title": "System Security Plan Update", + "links": [ + { + "rel": "related", + "href": "#pl-2" + } + ], + "props": [ + { + "class": "name", + "value": "PL-3" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into PL-2\u003c/i\u003e \u003ci\u003eIncorporated into PL-2\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-4", + "class": "SP800-53", + "title": "Rules of Behavior", + "params": [ + { + "id": "pl-4_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-4a." + } + ], + "prose": [ + "\u003cp\u003eEstablishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;\u003c/p\u003e" + ] + }, + { + "id": "pl-4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-4b." + } + ], + "prose": [ + "\u003cp\u003eReceives a signed acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;\u003c/p\u003e" + ] + }, + { + "id": "pl-4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-4c." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the rules of behavior \u003cinsert param-id=\"pl-4_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "pl-4_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-4d." + } + ], + "prose": [ + "\u003cp\u003eRequires individuals who have signed a previous version of the rules of behavior to read and re-sign when the rules of behavior are revised/updated.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#ac-8" + }, + { + "rel": "related", + "href": "#ac-9" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#ac-20" + }, + { + "rel": "related", + "href": "#at-2" + }, + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#cm-11" + }, + { + "rel": "related", + "href": "#ia-2" + }, + { + "rel": "related", + "href": "#ia-4" + }, + { + "rel": "related", + "href": "#ia-5" + }, + { + "rel": "related", + "href": "#mp-7" + }, + { + "rel": "related", + "href": "#ps-6" + }, + { + "rel": "related", + "href": "#ps-8" + }, + { + "rel": "related", + "href": "#sa-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-4_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-4(a)" + } + ], + "parts": [ + { + "id": "pl-4_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-4(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eestablishes, for individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;\u003c/p\u003e" + ] + }, + { + "id": "pl-4_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-4(a)[2]" + } + ], + "prose": [ + "\u003cp\u003emakes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-4_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-4(b)" + } + ], + "prose": [ + "\u003cp\u003ereceives a signed acknowledgement from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;\u003c/p\u003e" + ] + }, + { + "id": "pl-4_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-4(c)" + } + ], + "parts": [ + { + "id": "pl-4_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-4(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the rules of behavior;\u003c/p\u003e" + ] + }, + { + "id": "pl-4_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-4(c)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the rules of behavior with the organization-defined frequency; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-4_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-4(d)" + } + ], + "prose": [ + "\u003cp\u003erequires individuals who have signed a previous version of the rules of behavior to read and resign when the rules of behavior are revised/updated.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing rules of behavior for information system users\u003c/p\u003e", + "\u003cp\u003erules of behavior\u003c/p\u003e", + "\u003cp\u003esigned acknowledgements\u003c/p\u003e", + "\u003cp\u003erecords for rules of behavior reviews and updates\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for establishing, reviewing, and updating rules of behavior\u003c/p\u003e", + "\u003cp\u003eorganizational personnel who are authorized users of the information system and have signed and resigned rules of behavior\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for establishing, reviewing, disseminating, and updating rules of behavior\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pl-4.1", + "class": "SP800-53-enhancement", + "title": "Social Media and Networking Restrictions", + "props": [ + { + "class": "name", + "value": "PL-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization includes in the rules of behavior, explicit restrictions on the use of social media/networking sites and posting organizational information on public websites.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses rules of behavior related to the use of social media/networking sites: (i) when organizational personnel are using such sites for official duties or in the conduct of official business; (ii) when organizational information is involved in social media/networking transactions; and (iii) when personnel are accessing social media/networking sites from organizational information systems. Organizations also address specific rules that prevent unauthorized entities from obtaining and/or inferring non-public organizational information (e.g., system account information, personally identifiable information) from social media/networking sites.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization includes the following in the rules of behavior: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-4.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-4(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eexplicit restrictions on the use of social media/networking sites; and\u003c/p\u003e" + ] + }, + { + "id": "pl-4.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-4(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eposting organizational information on public websites.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing rules of behavior for information system users\u003c/p\u003e", + "\u003cp\u003erules of behavior\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for establishing, reviewing, and updating rules of behavior\u003c/p\u003e", + "\u003cp\u003eorganizational personnel who are authorized users of the information system and have signed rules of behavior\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for establishing rules of behavior\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the establishment of rules of behavior\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pl-5", + "class": "SP800-53", + "title": "Privacy Impact Assessment", + "links": [ + { + "href": "", + "value": "Appendix J" + }, + { + "href": "", + "value": "AR-2" + } + ], + "props": [ + { + "class": "name", + "value": "PL-5" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into Appendix J, AR-2\u003c/i\u003e \u003ci\u003eIncorporated into Appendix J, AR-2\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-6", + "class": "SP800-53", + "title": "Security-related Activity Planning", + "links": [ + { + "rel": "related", + "href": "#pl-2" + } + ], + "props": [ + { + "class": "name", + "value": "PL-6" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into PL-2\u003c/i\u003e \u003ci\u003eIncorporated into PL-2\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-7", + "class": "SP800-53", + "title": "Security Concept of Operations", + "params": [ + { + "id": "pl-7_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-7_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-7a." + } + ], + "prose": [ + "\u003cp\u003eDevelops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security; and\u003c/p\u003e" + ] + }, + { + "id": "pl-7_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-7b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the CONOPS \u003cinsert param-id=\"pl-7_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe security CONOPS may be included in the security plan for the information system or in other system development life cycle-related documents, as appropriate. Changes to the CONOPS are reflected in ongoing updates to the security plan, the information security architecture, and other appropriate organizational documents (e.g., security specifications for procurements/acquisitions, system development life cycle documents, and systems/security engineering documents).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pl-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-7_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-7(a)" + } + ], + "prose": [ + "\u003cp\u003edevelops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security;\u003c/p\u003e" + ] + }, + { + "id": "pl-7_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-7(b)" + } + ], + "parts": [ + { + "id": "pl-7_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-7(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the security CONOPS; and\u003c/p\u003e" + ] + }, + { + "id": "pl-7_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-7(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the security CONOPS with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security CONOPS development\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security CONOPS reviews and updates\u003c/p\u003e", + "\u003cp\u003esecurity CONOPS for the information system\u003c/p\u003e", + "\u003cp\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp\u003erecords of security CONOPS reviews and updates\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for developing, reviewing, and updating the security CONOPS\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the development, review, and update of the security CONOPS\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pl-8", + "class": "SP800-53", + "title": "Information Security Architecture", + "params": [ + { + "id": "pl-8_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PL-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-8_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-8a." + } + ], + "prose": [ + "\u003cp\u003eDevelops an information security architecture for the information system that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-8_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-8a.1." + } + ], + "prose": [ + "\u003cp\u003eDescribes the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;\u003c/p\u003e" + ] + }, + { + "id": "pl-8_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-8a.2." + } + ], + "prose": [ + "\u003cp\u003eDescribes how the information security architecture is integrated into and supports the enterprise architecture; and\u003c/p\u003e" + ] + }, + { + "id": "pl-8_smt_a.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-8a.3." + } + ], + "prose": [ + "\u003cp\u003eDescribes any information security assumptions about, and dependencies on, external services;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-8_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-8b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the information security architecture \u003cinsert param-id=\"pl-8_prm_1\"/\u003e to reflect updates in the enterprise architecture; and\u003c/p\u003e" + ] + }, + { + "id": "pl-8_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-8c." + } + ], + "prose": [ + "\u003cp\u003eEnsures that planned information security architecture changes are reflected in the security plan, the security Concept of Operations (CONOPS), and organizational procurements/acquisitions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses actions taken by organizations in the design and development of information systems. The information security architecture at the individual information system level is consistent with and complements the more global, organization-wide information security architecture described in PM-7 that is integral to and developed as part of the enterprise architecture. The information security architecture includes an architectural description, the placement/allocation of security functionality (including security controls), security-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security architecture can include other important security-related information, for example, user roles and access privileges assigned to each role, unique security requirements, the types of information processed, stored, and transmitted by the information system, restoration priorities of information and information system services, and any other specific protection needs. In today’s modern architecture, it is becoming less common for organizations to control all information resources. There are going to be key dependencies on external information services and service providers. Describing such dependencies in the information security architecture is important to developing a comprehensive mission/business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational information systems is critical to implementing and maintaining an effective information security architecture. The development of the information security architecture is coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to support privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure that organizations develop an information security architecture for the information system, and that the security architecture is integrated with or tightly coupled to the enterprise architecture through the organization-wide information security architecture. In contrast, SA-17 is primarily directed at external information technology product/system developers and integrators (although SA-17 could be used internally within organizations for in-house system development). SA-17, which is complementary to PL-8, is selected when organizations outsource the development of information systems or information system components to external entities, and there is a need to demonstrate/show consistency with the organization’s enterprise architecture and information security architecture.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#pl-2" + }, + { + "rel": "related", + "href": "#pm-7" + }, + { + "rel": "related", + "href": "#sa-5" + }, + { + "rel": "related", + "href": "#sa-17" + }, + { + "href": "", + "value": "Appendix J" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-8_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(a)" + } + ], + "prose": [ + "\u003cp\u003edevelops an information security architecture for the information system that describes:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-8_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(a)(1)" + } + ], + "prose": [ + "\u003cp\u003ethe overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information;\u003c/p\u003e" + ] + }, + { + "id": "pl-8_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(a)(2)" + } + ], + "prose": [ + "\u003cp\u003ehow the information security architecture is integrated into and supports the enterprise architecture;\u003c/p\u003e" + ] + }, + { + "id": "pl-8_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(a)(3)" + } + ], + "prose": [ + "\u003cp\u003eany information security assumptions about, and dependencies on, external services;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-8_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(b)" + } + ], + "parts": [ + { + "id": "pl-8_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the information security architecture;\u003c/p\u003e" + ] + }, + { + "id": "pl-8_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the information security architecture with the organization-defined frequency to reflect updates in the enterprise architecture;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-8_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(c)" + } + ], + "prose": [ + "\u003cp\u003eensures that planned information security architecture changes are reflected in:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-8_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(c)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe security plan;\u003c/p\u003e" + ] + }, + { + "id": "pl-8_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(c)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe security Concept of Operations (CONOPS); and\u003c/p\u003e" + ] + }, + { + "id": "pl-8_obj_c.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(c)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organizational procurements/acquisitions.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information security architecture development\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information security architecture reviews and updates\u003c/p\u003e", + "\u003cp\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp\u003einformation security architecture documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp\u003esecurity CONOPS for the information system\u003c/p\u003e", + "\u003cp\u003erecords of information security architecture reviews and updates\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security architecture development responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for developing, reviewing, and updating the information security architecture\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the development, review, and update of the information security architecture\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "pl-8.1", + "class": "SP800-53-enhancement", + "title": "Defense-in-depth", + "params": [ + { + "id": "pl-8.1_prm_1", + "label": "organization-defined security safeguards" + }, + { + "id": "pl-8.1_prm_2", + "label": "organization-defined locations and architectural layers" + } + ], + "props": [ + { + "class": "name", + "value": "PL-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization designs its security architecture using a defense-in-depth approach that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-8.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-8 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eAllocates \u003cinsert param-id=\"pl-8.1_prm_1\"/\u003e to \u003cinsert param-id=\"pl-8.1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "pl-8.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PL-8 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eEnsures that the allocated security safeguards operate in a coordinated and mutually reinforcing manner.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations strategically allocate security safeguards (procedural, technical, or both) in the security architecture so that adversaries have to overcome multiple safeguards to achieve their objective. Requiring adversaries to defeat multiple mechanisms makes it more difficult to successfully attack critical information resources (i.e., increases adversary work factor) and also increases the likelihood of detection. The coordination of allocated safeguards is essential to ensure that an attack that involves one safeguard does not create adverse unintended consequences (e.g., lockout, cascading alarms) by interfering with another safeguard. Placement of security safeguards is a key activity. Greater asset criticality or information value merits additional layering. Thus, an organization may choose to place anti-virus software at organizational boundary layers, email/web servers, notebook computers, and workstations to maximize the number of related safeguards adversaries must penetrate before compromising the information and information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-29" + }, + { + "rel": "related", + "href": "#sc-36" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-8.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(1)(a)" + } + ], + "parts": [ + { + "id": "pl-8.1_obj_1.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(1)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;\u003c/p\u003e" + ] + }, + { + "id": "pl-8.1_obj_1.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(1)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated;\u003c/p\u003e" + ] + }, + { + "id": "pl-8.1_obj_1.a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(1)(a)[3]" + } + ], + "prose": [ + "\u003cp\u003edesigns its security architecture using a defense-in-depth approach that allocates organization-defined security safeguards to organization-defined locations and architectural layers; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pl-8.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(1)(b)" + } + ], + "prose": [ + "\u003cp\u003edesigns its security architecture using a defense-in-depth approach that ensures the allocated organization-defined security safeguards operate in a coordinated and mutually reinforcing manner.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information security architecture development\u003c/p\u003e", + "\u003cp\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp\u003einformation security architecture documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp\u003esecurity CONOPS for the information system\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security architecture development responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for designing the information security architecture\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the design of the information security architecture\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pl-8.2", + "class": "SP800-53-enhancement", + "title": "Supplier Diversity", + "params": [ + { + "id": "pl-8.2_prm_1", + "label": "organization-defined security safeguards" + }, + { + "id": "pl-8.2_prm_2", + "label": "organization-defined locations and architectural layers" + } + ], + "props": [ + { + "class": "name", + "value": "PL-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires that \u003cinsert param-id=\"pl-8.2_prm_1\"/\u003e allocated to \u003cinsert param-id=\"pl-8.2_prm_2\"/\u003e are obtained from different suppliers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDifferent information technology products have different strengths and weaknesses. Providing a broad spectrum of products complements the individual offerings. For example, vendors offering malicious code protection typically update their products at different times, often developing solutions for known viruses, Trojans, or worms according to their priorities and development schedules. By having different products at different locations (e.g., server, boundary, desktop) there is an increased likelihood that at least one will detect the malicious code.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-8.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be allocated to locations and architectural layers within the design of its security architecture;\u003c/p\u003e" + ] + }, + { + "id": "pl-8.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines locations and architectural layers of its security architecture in which organization-defined security safeguards are to be allocated; and\u003c/p\u003e" + ] + }, + { + "id": "pl-8.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-8(2)[3]" + } + ], + "prose": [ + "\u003cp\u003erequires that organization-defined security safeguards allocated to organization-defined locations and architectural layers are obtained from different suppliers.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information security architecture development\u003c/p\u003e", + "\u003cp\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp\u003einformation security architecture documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp\u003esecurity CONOPS for the information system\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security architecture development responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for obtaining information security safeguards from different suppliers\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "pl-9", + "class": "SP800-53", + "title": "Central Management", + "params": [ + { + "id": "pl-9_prm_1", + "label": "organization-defined security controls and related processes" + } + ], + "props": [ + { + "class": "name", + "value": "PL-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization centrally manages \u003cinsert param-id=\"pl-9_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management refers to the organization-wide management and implementation of selected security controls and related processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed security controls and processes. As central management of security controls is generally associated with common controls, such management promotes and facilitates standardization of security control implementations and management and judicious use of organizational resources. Centrally-managed security controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate as part of organizational continuous monitoring. As part of the security control selection process, organizations determine which controls may be suitable for central management based on organizational resources and capabilities. Organizations consider that it may not always be possible to centrally manage every aspect of a security control. In such cases, the security control is treated as a hybrid control with the control managed and implemented either centrally or at the information system level. Controls and control enhancements that are candidates for full or partial central management include, but are not limited to: AC-2 (1) (2) (3) (4); AC-17 (1) (2) (3) (9); AC-18 (1) (3) (4) (5); AC-19 (4); AC-22; AC-23; AT-2 (1) (2); AT-3 (1) (2) (3); AT-4; AU-6 (1) (3) (5) (6) (9); AU-7 (1) (2); AU-11, AU-13, AU-16, CA-2 (1) (2) (3); CA-3 (1) (2) (3); CA-7 (1); CA-9; CM-2 (1) (2); CM-3 (1) (4); CM-4; CM-6 (1); CM-7 (4) (5); CM-8 (all); CM-9 (1); CM-10; CM-11; CP-7 (all); CP-8 (all); SC-43; SI-2; SI-3; SI-7; and SI-8.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pl-9_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-9[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security controls and related processes to be centrally managed; and\u003c/p\u003e" + ] + }, + { + "id": "pl-9_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PL-9[2]" + } + ], + "prose": [ + "\u003cp\u003ecentrally manages organization-defined security controls and related processes.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSecurity planning policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security plan development and implementation\u003c/p\u003e", + "\u003cp\u003esecurity plan for the information system\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for planning/implementing central management of security controls and related processes\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for central management of security controls and related processes\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing central management of security controls and related processes\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + } + ] + }, + { + "class": "family", + "title": "Personnel Security", + "controls": [ + { + "id": "ps-1", + "class": "SP800-53", + "title": "Personnel Security Policy and Procedures", + "params": [ + { + "id": "ps-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "ps-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "ps-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PS-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ps-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-1a.1." + } + ], + "prose": [ + "\u003cp\u003eA personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "ps-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the personnel security policy and associated personnel security controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ps-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-1b.1." + } + ], + "prose": [ + "\u003cp\u003ePersonnel security policy \u003cinsert param-id=\"ps-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ps-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-1b.2." + } + ], + "prose": [ + "\u003cp\u003ePersonnel security procedures \u003cinsert param-id=\"ps-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)" + } + ], + "parts": [ + { + "id": "ps-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents an personnel security policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "ps-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "ps-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "ps-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "ps-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "ps-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "ps-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ps-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the personnel security policy is to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "ps-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the personnel security policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ps-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(2)" + } + ], + "parts": [ + { + "id": "ps-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the personnel security policy and associated personnel security controls;\u003c/p\u003e" + ] + }, + { + "id": "ps-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "ps-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ps-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(b)(1)" + } + ], + "parts": [ + { + "id": "ps-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current personnel security policy;\u003c/p\u003e" + ] + }, + { + "id": "ps-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current personnel security policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ps-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(b)(2)" + } + ], + "parts": [ + { + "id": "ps-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current personnel security procedures; and\u003c/p\u003e" + ] + }, + { + "id": "ps-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current personnel security procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with access control responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ps-2", + "class": "SP800-53", + "title": "Position Risk Designation", + "params": [ + { + "id": "ps-2_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PS-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-2a." + } + ], + "prose": [ + "\u003cp\u003eAssigns a risk designation to all organizational positions;\u003c/p\u003e" + ] + }, + { + "id": "ps-2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-2b." + } + ], + "prose": [ + "\u003cp\u003eEstablishes screening criteria for individuals filling those positions; and\u003c/p\u003e" + ] + }, + { + "id": "ps-2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-2c." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates position risk designations \u003cinsert param-id=\"ps-2_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePosition risk designations reflect Office of Personnel Management policy and guidance. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements (e.g., training, security clearances).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#pl-2" + }, + { + "rel": "related", + "href": "#ps-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-2_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-2(a)" + } + ], + "prose": [ + "\u003cp\u003eassigns a risk designation to all organizational positions;\u003c/p\u003e" + ] + }, + { + "id": "ps-2_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-2(b)" + } + ], + "prose": [ + "\u003cp\u003eestablishes screening criteria for individuals filling those positions;\u003c/p\u003e" + ] + }, + { + "id": "ps-2_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-2(c)" + } + ], + "parts": [ + { + "id": "ps-2_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-2(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update position risk designations; and\u003c/p\u003e" + ] + }, + { + "id": "ps-2_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-2(c)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates position risk designations with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing position categorization\u003c/p\u003e", + "\u003cp\u003eappropriate codes of federal regulations\u003c/p\u003e", + "\u003cp\u003elist of risk designations for organizational positions\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003erecords of position risk designation reviews and updates\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for assigning, reviewing, and updating position risk designations\u003c/p\u003e", + "\u003cp\u003eorganizational processes for establishing screening criteria\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ps-3", + "class": "SP800-53", + "title": "Personnel Screening", + "params": [ + { + "id": "ps-3_prm_1", + "label": "organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening" + } + ], + "props": [ + { + "class": "name", + "value": "PS-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-3a." + } + ], + "prose": [ + "\u003cp\u003eScreens individuals prior to authorizing access to the information system; and\u003c/p\u003e" + ] + }, + { + "id": "ps-3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-3b." + } + ], + "prose": [ + "\u003cp\u003eRescreens individuals according to \u003cinsert param-id=\"ps-3_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePersonnel screening and rescreening activities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, guidance, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing information systems based on types of information processed, stored, or transmitted by the systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ia-4" + }, + { + "rel": "related", + "href": "#pe-2" + }, + { + "rel": "related", + "href": "#ps-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-3_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-3(a)" + } + ], + "prose": [ + "\u003cp\u003escreens individuals prior to authorizing access to the information system;\u003c/p\u003e" + ] + }, + { + "id": "ps-3_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-3(b)" + } + ], + "parts": [ + { + "id": "ps-3_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-3(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines conditions requiring re-screening;\u003c/p\u003e" + ] + }, + { + "id": "ps-3_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-3(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency of re-screening where it is so indicated; and\u003c/p\u003e" + ] + }, + { + "id": "ps-3_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-3(b)[3]" + } + ], + "prose": [ + "\u003cp\u003ere-screens individuals in accordance with organization-defined conditions requiring re-screening and, where re-screening is so indicated, with the organization-defined frequency of such re-screening.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing personnel screening\u003c/p\u003e", + "\u003cp\u003erecords of screened personnel\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for personnel screening\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ps-3.1", + "class": "SP800-53-enhancement", + "title": "Classified Information", + "props": [ + { + "class": "name", + "value": "PS-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-3.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-3(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared to the highest classification level of the information to which they have access on the system; and\u003c/p\u003e" + ] + }, + { + "id": "ps-3.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-3(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that individuals accessing an information system processing, storing, or transmitting classified information are indoctrinated to the highest classification level of the information to which they have access on the system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing personnel screening\u003c/p\u003e", + "\u003cp\u003erecords of screened personnel\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for clearing and indoctrinating personnel for access to classified information\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ps-3.2", + "class": "SP800-53-enhancement", + "title": "Formal Indoctrination", + "props": [ + { + "class": "name", + "value": "PS-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTypes of classified information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing personnel screening\u003c/p\u003e", + "\u003cp\u003erecords of screened personnel\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for formal indoctrination for all relevant types of information to which personnel have access\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ps-3.3", + "class": "SP800-53-enhancement", + "title": "Information with Special Protection Measures", + "params": [ + { + "id": "ps-3.3_prm_1", + "label": "organization-defined additional personnel screening criteria" + } + ], + "props": [ + { + "class": "name", + "value": "PS-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-3.3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-3 (3)(a)" + } + ], + "prose": [ + "\u003cp\u003eHave valid access authorizations that are demonstrated by assigned official government duties; and\u003c/p\u003e" + ] + }, + { + "id": "ps-3.3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-3 (3)(b)" + } + ], + "prose": [ + "\u003cp\u003eSatisfy \u003cinsert param-id=\"ps-3.3_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational information requiring special protection includes, for example, Controlled Unclassified Information (CUI) and Sources and Methods Information (SAMI). Personnel security criteria include, for example, position sensitivity background screening requirements.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-3.3_obj_3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-3(3)(a)" + } + ], + "prose": [ + "\u003cp\u003eensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection have valid access authorizations that are demonstrated by assigned official government duties;\u003c/p\u003e" + ] + }, + { + "id": "ps-3.3_obj_3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-3(3)(b)" + } + ], + "parts": [ + { + "id": "ps-3.3_obj_3.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-3(3)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines additional personnel screening criteria to be satisfied for individuals accessing an information system processing, storing, or transmitting information requiring special protection; and\u003c/p\u003e" + ] + }, + { + "id": "ps-3.3_obj_3.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-3(3)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection satisfy organization-defined additional personnel screening criteria.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy, procedures addressing personnel screening\u003c/p\u003e", + "\u003cp\u003erecords of screened personnel\u003c/p\u003e", + "\u003cp\u003escreening criteria\u003c/p\u003e", + "\u003cp\u003erecords of access authorizations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for ensuring valid access authorizations for information requiring special protection\u003c/p\u003e", + "\u003cp\u003eorganizational process for additional personnel screening for information requiring special protection\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ps-4", + "class": "SP800-53", + "title": "Personnel Termination", + "params": [ + { + "id": "ps-4_prm_1", + "label": "organization-defined time period" + }, + { + "id": "ps-4_prm_2", + "label": "organization-defined information security topics" + }, + { + "id": "ps-4_prm_3", + "label": "organization-defined personnel or roles" + }, + { + "id": "ps-4_prm_4", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization, upon termination of individual employment:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-4a." + } + ], + "prose": [ + "\u003cp\u003eDisables information system access within \u003cinsert param-id=\"ps-4_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "ps-4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-4b." + } + ], + "prose": [ + "\u003cp\u003eTerminates/revokes any authenticators/credentials associated with the individual;\u003c/p\u003e" + ] + }, + { + "id": "ps-4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-4c." + } + ], + "prose": [ + "\u003cp\u003eConducts exit interviews that include a discussion of \u003cinsert param-id=\"ps-4_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "ps-4_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-4d." + } + ], + "prose": [ + "\u003cp\u003eRetrieves all security-related organizational information system-related property;\u003c/p\u003e" + ] + }, + { + "id": "ps-4_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-4e." + } + ], + "prose": [ + "\u003cp\u003eRetains access to organizational information and information systems formerly controlled by terminated individual; and\u003c/p\u003e" + ] + }, + { + "id": "ps-4_smt_f", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-4f." + } + ], + "prose": [ + "\u003cp\u003eNotifies \u003cinsert param-id=\"ps-4_prm_3\"/\u003e within \u003cinsert param-id=\"ps-4_prm_4\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for information system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and nonavailability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the information system accounts of individuals that are being terminated prior to the individuals being notified.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ia-4" + }, + { + "rel": "related", + "href": "#pe-2" + }, + { + "rel": "related", + "href": "#ps-5" + }, + { + "rel": "related", + "href": "#ps-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization, upon termination of individual employment,:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-4_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(a)" + } + ], + "parts": [ + { + "id": "ps-4_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a time period within which to disable information system access;\u003c/p\u003e" + ] + }, + { + "id": "ps-4_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edisables information system access within the organization-defined time period;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ps-4_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(b)" + } + ], + "prose": [ + "\u003cp\u003eterminates/revokes any authenticators/credentials associated with the individual;\u003c/p\u003e" + ] + }, + { + "id": "ps-4_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(c)" + } + ], + "parts": [ + { + "id": "ps-4_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information security topics to be discussed when conducting exit interviews;\u003c/p\u003e" + ] + }, + { + "id": "ps-4_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(c)[2]" + } + ], + "prose": [ + "\u003cp\u003econducts exit interviews that include a discussion of organization-defined information security topics;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ps-4_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(d)" + } + ], + "prose": [ + "\u003cp\u003eretrieves all security-related organizational information system-related property;\u003c/p\u003e" + ] + }, + { + "id": "ps-4_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(e)" + } + ], + "prose": [ + "\u003cp\u003eretains access to organizational information and information systems formerly controlled by the terminated individual;\u003c/p\u003e" + ] + }, + { + "id": "ps-4_obj_f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(f)" + } + ], + "parts": [ + { + "id": "ps-4_obj_f.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(f)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to be notified of the termination;\u003c/p\u003e" + ] + }, + { + "id": "ps-4_obj_f.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(f)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period within which to notify organization-defined personnel or roles; and\u003c/p\u003e" + ] + }, + { + "id": "ps-4_obj_f.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(f)[3]" + } + ], + "prose": [ + "\u003cp\u003enotifies organization-defined personnel or roles within the organization-defined time period.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing personnel termination\u003c/p\u003e", + "\u003cp\u003erecords of personnel termination actions\u003c/p\u003e", + "\u003cp\u003elist of information system accounts\u003c/p\u003e", + "\u003cp\u003erecords of terminated or revoked authenticators/credentials\u003c/p\u003e", + "\u003cp\u003erecords of exit interviews\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for personnel termination\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing personnel termination notifications\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for disabling information system access/revoking authenticators\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ps-4.1", + "class": "SP800-53-enhancement", + "title": "Post-employment Requirements", + "props": [ + { + "class": "name", + "value": "PS-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-4.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-4 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eNotifies terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and\u003c/p\u003e" + ] + }, + { + "id": "ps-4.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-4 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eRequires terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination process.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-4.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(1)(a)" + } + ], + "prose": [ + "\u003cp\u003enotifies terminated individuals of applicable, legally binding, post-employment requirements for the protection of organizational information; and\u003c/p\u003e" + ] + }, + { + "id": "ps-4.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(1)(b)" + } + ], + "prose": [ + "\u003cp\u003erequires terminated individuals to sign an acknowledgement of post-employment requirements as part of the organizational termination process.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing personnel termination\u003c/p\u003e", + "\u003cp\u003esigned post-employment acknowledgement forms\u003c/p\u003e", + "\u003cp\u003elist of applicable, legally binding post-employment requirements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for post-employment requirements\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ps-4.2", + "class": "SP800-53-enhancement", + "title": "Automated Notification", + "params": [ + { + "id": "ps-4.2_prm_1", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "PS-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to notify \u003cinsert param-id=\"ps-4.2_prm_1\"/\u003e upon termination of an individual.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn organizations with a large number of employees, not all personnel who need to know about termination actions receive the appropriate notifications—or, if such notifications are received, they may not occur in a timely manner. Automated mechanisms can be used to send automatic alerts or notifications to specific organizational personnel or roles (e.g., management personnel, supervisors, personnel security officers, information security officers, systems administrators, or information technology administrators) when individuals are terminated. Such automatic alerts or notifications can be conveyed in a variety of ways, including, for example, telephonically, via electronic mail, via text message, or via websites.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-4.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to be notified upon termination of an individual; and\u003c/p\u003e" + ] + }, + { + "id": "ps-4.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-4(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms to notify organization-defined personnel or roles upon termination of an individual.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing personnel termination\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of personnel termination actions\u003c/p\u003e", + "\u003cp\u003eautomated notifications of employee terminations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for personnel termination\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing personnel termination notifications\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ps-5", + "class": "SP800-53", + "title": "Personnel Transfer", + "params": [ + { + "id": "ps-5_prm_1", + "label": "organization-defined transfer or reassignment actions" + }, + { + "id": "ps-5_prm_2", + "label": "organization-defined time period following the formal transfer action" + }, + { + "id": "ps-5_prm_3", + "label": "organization-defined personnel or roles" + }, + { + "id": "ps-5_prm_4", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-5a." + } + ], + "prose": [ + "\u003cp\u003eReviews and confirms ongoing operational need for current logical and physical access authorizations to information systems/facilities when individuals are reassigned or transferred to other positions within the organization;\u003c/p\u003e" + ] + }, + { + "id": "ps-5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-5b." + } + ], + "prose": [ + "\u003cp\u003eInitiates \u003cinsert param-id=\"ps-5_prm_1\"/\u003e within \u003cinsert param-id=\"ps-5_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "ps-5_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-5c." + } + ], + "prose": [ + "\u003cp\u003eModifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and\u003c/p\u003e" + ] + }, + { + "id": "ps-5_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-5d." + } + ], + "prose": [ + "\u003cp\u003eNotifies \u003cinsert param-id=\"ps-5_prm_3\"/\u003e within \u003cinsert param-id=\"ps-5_prm_4\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing information system accounts and establishing new accounts; (iii) changing information system access authorizations (i.e., privileges); and (iv) providing for access to official records to which individuals had access at previous work locations and in previous information system accounts.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ia-4" + }, + { + "rel": "related", + "href": "#pe-2" + }, + { + "rel": "related", + "href": "#ps-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-5_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-5(a)" + } + ], + "prose": [ + "\u003cp\u003ewhen individuals are reassigned or transferred to other positions within the organization, reviews and confirms ongoing operational need for current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-5_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-5(a)[1]" + } + ], + "prose": [ + "\u003cp\u003elogical access authorizations to information systems;\u003c/p\u003e" + ] + }, + { + "id": "ps-5_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-5(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ephysical access authorizations to information systems and facilities;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ps-5_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-5(b)" + } + ], + "parts": [ + { + "id": "ps-5_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-5(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines transfer or reassignment actions to be initiated following transfer or reassignment;\u003c/p\u003e" + ] + }, + { + "id": "ps-5_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-5(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period within which transfer or reassignment actions must occur following transfer or reassignment;\u003c/p\u003e" + ] + }, + { + "id": "ps-5_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-5(b)[3]" + } + ], + "prose": [ + "\u003cp\u003einitiates organization-defined transfer or reassignment actions within the organization-defined time period following transfer or reassignment;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ps-5_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-5(c)" + } + ], + "prose": [ + "\u003cp\u003emodifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer;\u003c/p\u003e" + ] + }, + { + "id": "ps-5_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-5(d)" + } + ], + "parts": [ + { + "id": "ps-5_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-5(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to be notified when individuals are reassigned or transferred to other positions within the organization;\u003c/p\u003e" + ] + }, + { + "id": "ps-5_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-5(d)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period within which to notify organization-defined personnel or roles when individuals are reassigned or transferred to other positions within the organization; and\u003c/p\u003e" + ] + }, + { + "id": "ps-5_obj_d.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-5(d)[3]" + } + ], + "prose": [ + "\u003cp\u003enotifies organization-defined personnel or roles within the organization-defined time period when individuals are reassigned or transferred to other positions within the organization.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing personnel transfer\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003erecords of personnel transfer actions\u003c/p\u003e", + "\u003cp\u003elist of information system and facility access authorizations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with personnel security responsibilities organizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for personnel transfer\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing personnel transfer notifications\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for disabling information system access/revoking authenticators\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ps-6", + "class": "SP800-53", + "title": "Access Agreements", + "params": [ + { + "id": "ps-6_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "ps-6_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PS-6" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-6_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-6a." + } + ], + "prose": [ + "\u003cp\u003eDevelops and documents access agreements for organizational information systems;\u003c/p\u003e" + ] + }, + { + "id": "ps-6_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-6b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the access agreements \u003cinsert param-id=\"ps-6_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ps-6_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-6c." + } + ], + "prose": [ + "\u003cp\u003eEnsures that individuals requiring access to organizational information and information systems:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-6_smt_c.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-6c.1." + } + ], + "prose": [ + "\u003cp\u003eSign appropriate access agreements prior to being granted access; and\u003c/p\u003e" + ] + }, + { + "id": "ps-6_smt_c.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-6c.2." + } + ], + "prose": [ + "\u003cp\u003eRe-sign access agreements to maintain access to organizational information systems when access agreements have been updated or \u003cinsert param-id=\"ps-6_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAccess agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pl-4" + }, + { + "rel": "related", + "href": "#ps-2" + }, + { + "rel": "related", + "href": "#ps-3" + }, + { + "rel": "related", + "href": "#ps-4" + }, + { + "rel": "related", + "href": "#ps-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-6_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-6(a)" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents access agreements for organizational information systems;\u003c/p\u003e" + ] + }, + { + "id": "ps-6_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-6(b)" + } + ], + "parts": [ + { + "id": "ps-6_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-6(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the access agreements;\u003c/p\u003e" + ] + }, + { + "id": "ps-6_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-6(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the access agreements with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ps-6_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-6(c)" + } + ], + "parts": [ + { + "id": "ps-6_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-6(c)(1)" + } + ], + "prose": [ + "\u003cp\u003eensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access;\u003c/p\u003e" + ] + }, + { + "id": "ps-6_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-6(c)(2)" + } + ], + "parts": [ + { + "id": "ps-6_obj_c.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-6(c)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to re-sign access agreements to maintain access to organizational information systems when access agreements have been updated;\u003c/p\u003e" + ] + }, + { + "id": "ps-6_obj_c.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-6(c)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that individuals requiring access to organizational information and information systems re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access agreements for organizational information and information systems\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eaccess agreements\u003c/p\u003e", + "\u003cp\u003erecords of access agreement reviews and updates\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel who have signed/resigned access agreements\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for access agreements\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting access agreements\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ps-6.1", + "class": "SP800-53-enhancement", + "title": "Information Requiring Special Protection", + "links": [ + { + "rel": "related", + "href": "#ps-3" + } + ], + "props": [ + { + "class": "name", + "value": "PS-6 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into PS-3\u003c/i\u003e \u003ci\u003eIncorporated into PS-3\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ps-6.2", + "class": "SP800-53-enhancement", + "title": "Classified Information Requiring Special Protection", + "props": [ + { + "class": "name", + "value": "PS-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that access to classified information requiring special protection is granted only to individuals who:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-6.2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-6 (2)(a)" + } + ], + "prose": [ + "\u003cp\u003eHave a valid access authorization that is demonstrated by assigned official government duties;\u003c/p\u003e" + ] + }, + { + "id": "ps-6.2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-6 (2)(b)" + } + ], + "prose": [ + "\u003cp\u003eSatisfy associated personnel security criteria; and\u003c/p\u003e" + ] + }, + { + "id": "ps-6.2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-6 (2)(c)" + } + ], + "prose": [ + "\u003cp\u003eHave read, understood, and signed a nondisclosure agreement.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClassified information requiring special protection includes, for example, collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization ensures that access to classified information requiring special protection is granted only to individuals who:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-6.2_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-6(2)(a)" + } + ], + "prose": [ + "\u003cp\u003ehave a valid access authorization that is demonstrated by assigned official government duties;\u003c/p\u003e" + ] + }, + { + "id": "ps-6.2_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-6(2)(b)" + } + ], + "prose": [ + "\u003cp\u003esatisfy associated personnel security criteria; and\u003c/p\u003e" + ] + }, + { + "id": "ps-6.2_obj_2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-6(2)(c)" + } + ], + "prose": [ + "\u003cp\u003ehave read, understood, and signed a nondisclosure agreement.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access agreements for organizational information and information systems\u003c/p\u003e", + "\u003cp\u003eaccess agreements\u003c/p\u003e", + "\u003cp\u003eaccess authorizations\u003c/p\u003e", + "\u003cp\u003epersonnel security criteria\u003c/p\u003e", + "\u003cp\u003esigned nondisclosure agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel who have signed nondisclosure agreements\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for access to classified information requiring special protection\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ps-6.3", + "class": "SP800-53-enhancement", + "title": "Post-employment Requirements", + "props": [ + { + "class": "name", + "value": "PS-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-6.3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-6 (3)(a)" + } + ], + "prose": [ + "\u003cp\u003eNotifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and\u003c/p\u003e" + ] + }, + { + "id": "ps-6.3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-6 (3)(b)" + } + ], + "prose": [ + "\u003cp\u003eRequires individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-6.3_obj_3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-6(3)(a)" + } + ], + "prose": [ + "\u003cp\u003enotifies individuals of applicable, legally binding post-employment requirements for protection of organizational information; and\u003c/p\u003e" + ] + }, + { + "id": "ps-6.3_obj_3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-6(3)(b)" + } + ], + "prose": [ + "\u003cp\u003erequires individuals to sign an acknowledgement of these requirements, if applicable, as part of granting initial access to covered information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing access agreements for organizational information and information systems\u003c/p\u003e", + "\u003cp\u003esigned post-employment acknowledgement forms\u003c/p\u003e", + "\u003cp\u003eaccess agreements\u003c/p\u003e", + "\u003cp\u003elist of applicable, legally binding post-employment requirements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel who have signed access agreements that include post-employment requirements\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for post-employment requirements\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting notifications and individual acknowledgements of post-employment requirements\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "ps-7", + "class": "SP800-53", + "title": "Third-party Personnel Security", + "params": [ + { + "id": "ps-7_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "ps-7_prm_2", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-7_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-7a." + } + ], + "prose": [ + "\u003cp\u003eEstablishes personnel security requirements including security roles and responsibilities for third-party providers;\u003c/p\u003e" + ] + }, + { + "id": "ps-7_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-7b." + } + ], + "prose": [ + "\u003cp\u003eRequires third-party providers to comply with personnel security policies and procedures established by the organization;\u003c/p\u003e" + ] + }, + { + "id": "ps-7_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-7c." + } + ], + "prose": [ + "\u003cp\u003eDocuments personnel security requirements;\u003c/p\u003e" + ] + }, + { + "id": "ps-7_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-7d." + } + ], + "prose": [ + "\u003cp\u003eRequires third-party providers to notify \u003cinsert param-id=\"ps-7_prm_1\"/\u003e of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges within \u003cinsert param-id=\"ps-7_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ps-7_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-7e." + } + ], + "prose": [ + "\u003cp\u003eMonitors provider compliance.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThird-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. Third-party providers may have personnel working at organizational facilities with credentials, badges, or information system privileges issued by organizations. Notifications of third-party personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ps-2" + }, + { + "rel": "related", + "href": "#ps-3" + }, + { + "rel": "related", + "href": "#ps-4" + }, + { + "rel": "related", + "href": "#ps-5" + }, + { + "rel": "related", + "href": "#ps-6" + }, + { + "rel": "related", + "href": "#sa-9" + }, + { + "rel": "related", + "href": "#sa-21" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-7_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-7(a)" + } + ], + "prose": [ + "\u003cp\u003eestablishes personnel security requirements, including security roles and responsibilities, for third-party providers;\u003c/p\u003e" + ] + }, + { + "id": "ps-7_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-7(b)" + } + ], + "prose": [ + "\u003cp\u003erequires third-party providers to comply with personnel security policies and procedures established by the organization;\u003c/p\u003e" + ] + }, + { + "id": "ps-7_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-7(c)" + } + ], + "prose": [ + "\u003cp\u003edocuments personnel security requirements;\u003c/p\u003e" + ] + }, + { + "id": "ps-7_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-7(d)" + } + ], + "parts": [ + { + "id": "ps-7_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-7(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to be notified of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;\u003c/p\u003e" + ] + }, + { + "id": "ps-7_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-7(d)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period within which third-party providers are required to notify organization-defined personnel or roles of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges;\u003c/p\u003e" + ] + }, + { + "id": "ps-7_obj_d.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-7(d)[3]" + } + ], + "prose": [ + "\u003cp\u003erequires third-party providers to notify organization-defined personnel or roles within the organization-defined time period of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ps-7_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-7(e)" + } + ], + "prose": [ + "\u003cp\u003emonitors provider compliance.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing third-party personnel security\u003c/p\u003e", + "\u003cp\u003elist of personnel security requirements\u003c/p\u003e", + "\u003cp\u003eacquisition documents\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003ecompliance monitoring process\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003ethird-party providers\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with account management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing and monitoring third-party personnel security\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing monitoring of provider compliance\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ps-8", + "class": "SP800-53", + "title": "Personnel Sanctions", + "params": [ + { + "id": "ps-8_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "ps-8_prm_2", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "PS-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-8_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-8a." + } + ], + "prose": [ + "\u003cp\u003eEmploys a formal sanctions process for individuals failing to comply with established information security policies and procedures; and\u003c/p\u003e" + ] + }, + { + "id": "ps-8_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PS-8b." + } + ], + "prose": [ + "\u003cp\u003eNotifies \u003cinsert param-id=\"ps-8_prm_1\"/\u003e within \u003cinsert param-id=\"ps-8_prm_2\"/\u003e when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational sanctions processes reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pl-4" + }, + { + "rel": "related", + "href": "#ps-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ps-8_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-8(a)" + } + ], + "prose": [ + "\u003cp\u003eemploys a formal sanctions process for individuals failing to comply with established information security policies and procedures;\u003c/p\u003e" + ] + }, + { + "id": "ps-8_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-8(b)" + } + ], + "parts": [ + { + "id": "ps-8_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-8(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to be notified when a formal employee sanctions process is initiated;\u003c/p\u003e" + ] + }, + { + "id": "ps-8_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-8(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period within which organization-defined personnel or roles must be notified when a formal employee sanctions process is initiated; and\u003c/p\u003e" + ] + }, + { + "id": "ps-8_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PS-8(b)[3]" + } + ], + "prose": [ + "\u003cp\u003enotifies organization-defined personnel or roles within the organization-defined time period when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003ePersonnel security policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing personnel sanctions\u003c/p\u003e", + "\u003cp\u003erules of behavior\u003c/p\u003e", + "\u003cp\u003erecords of formal sanctions\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with personnel security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing personnel sanctions\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing notifications\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "Risk Assessment", + "controls": [ + { + "id": "ra-1", + "class": "SP800-53", + "title": "Risk Assessment Policy and Procedures", + "params": [ + { + "id": "ra-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "ra-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "ra-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "RA-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"ra-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-1a.1." + } + ], + "prose": [ + "\u003cp\u003eA risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "ra-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-1b.1." + } + ], + "prose": [ + "\u003cp\u003eRisk assessment policy \u003cinsert param-id=\"ra-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ra-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-1b.2." + } + ], + "prose": [ + "\u003cp\u003eRisk assessment procedures \u003cinsert param-id=\"ra-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the RA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)" + } + ], + "parts": [ + { + "id": "ra-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents a risk assessment policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "ra-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "ra-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "ra-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "ra-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "ra-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "ra-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the risk assessment policy is to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "ra-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the risk assessment policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(2)" + } + ], + "parts": [ + { + "id": "ra-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls;\u003c/p\u003e" + ] + }, + { + "id": "ra-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "ra-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(b)(1)" + } + ], + "parts": [ + { + "id": "ra-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current risk assessment policy;\u003c/p\u003e" + ] + }, + { + "id": "ra-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current risk assessment policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(b)(2)" + } + ], + "parts": [ + { + "id": "ra-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current risk assessment procedures; and\u003c/p\u003e" + ] + }, + { + "id": "ra-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current risk assessment procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003erisk assessment policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with risk assessment responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ra-2", + "class": "SP800-53", + "title": "Security Categorization", + "props": [ + { + "class": "name", + "value": "RA-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-2a." + } + ], + "prose": [ + "\u003cp\u003eCategorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;\u003c/p\u003e" + ] + }, + { + "id": "ra-2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-2b." + } + ], + "prose": [ + "\u003cp\u003eDocuments the security categorization results (including supporting rationale) in the security plan for the information system; and\u003c/p\u003e" + ] + }, + { + "id": "ra-2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-2c." + } + ], + "prose": [ + "\u003cp\u003eEnsures that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClearly defined authorization boundaries are a prerequisite for effective security categorization decisions. Security categories describe the potential adverse impacts to organizational operations, organizational assets, and individuals if organizational information and information systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of chief information officers, senior information security officers, information system owners, mission/business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes carried out by organizations facilitate the development of inventories of information assets, and along with CM-8, mappings to specific information system components where information is processed, stored, or transmitted.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-8" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#ra-3" + }, + { + "rel": "related", + "href": "#sc-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-2_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-2(a)" + } + ], + "prose": [ + "\u003cp\u003ecategorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;\u003c/p\u003e" + ] + }, + { + "id": "ra-2_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-2(b)" + } + ], + "prose": [ + "\u003cp\u003edocuments the security categorization results (including supporting rationale) in the security plan for the information system; and\u003c/p\u003e" + ] + }, + { + "id": "ra-2_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-2(c)" + } + ], + "prose": [ + "\u003cp\u003eensures the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp\u003esecurity planning policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security categorization of organizational information and information systems\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity categorization documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security categorization and risk assessment responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for security categorization\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ra-3", + "class": "SP800-53", + "title": "Risk Assessment", + "params": [ + { + "id": "ra-3_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "security plan" + }, + { + "assignments": null, + "Value": "risk assessment report" + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "ra-3_prm_2", + "dependsOn": "ra-3_prm_1", + "label": "organization-defined document" + }, + { + "id": "ra-3_prm_3", + "label": "organization-defined frequency" + }, + { + "id": "ra-3_prm_4", + "label": "organization-defined personnel or roles" + }, + { + "id": "ra-3_prm_5", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "RA-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-3a." + } + ], + "prose": [ + "\u003cp\u003eConducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;\u003c/p\u003e" + ] + }, + { + "id": "ra-3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-3b." + } + ], + "prose": [ + "\u003cp\u003eDocuments risk assessment results in \u003cinsert param-id=\"ra-3_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "ra-3_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-3c." + } + ], + "prose": [ + "\u003cp\u003eReviews risk assessment results \u003cinsert param-id=\"ra-3_prm_3\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "ra-3_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-3d." + } + ], + "prose": [ + "\u003cp\u003eDisseminates risk assessment results to \u003cinsert param-id=\"ra-3_prm_4\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "ra-3_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-3e." + } + ], + "prose": [ + "\u003cp\u003eUpdates the risk assessment \u003cinsert param-id=\"ra-3_prm_5\"/\u003e or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eClearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also take into account risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems. Risk assessments (either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ra-2" + }, + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-3_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(a)" + } + ], + "prose": [ + "\u003cp\u003econducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-3_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe information system;\u003c/p\u003e" + ] + }, + { + "id": "ra-3_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information the system processes, stores, or transmits;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-3_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(b)" + } + ], + "parts": [ + { + "id": "ra-3_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a document in which risk assessment results are to be documented (if not documented in the security plan or risk assessment report);\u003c/p\u003e" + ] + }, + { + "id": "ra-3_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edocuments risk assessment results in one of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-3_obj_b.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(b)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ethe security plan;\u003c/p\u003e" + ] + }, + { + "id": "ra-3_obj_b.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(b)[2][b]" + } + ], + "prose": [ + "\u003cp\u003ethe risk assessment report; or\u003c/p\u003e" + ] + }, + { + "id": "ra-3_obj_b.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(b)[2][c]" + } + ], + "prose": [ + "\u003cp\u003ethe organization-defined document;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ra-3_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(c)" + } + ], + "parts": [ + { + "id": "ra-3_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review risk assessment results;\u003c/p\u003e" + ] + }, + { + "id": "ra-3_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(c)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews risk assessment results with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-3_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(d)" + } + ], + "parts": [ + { + "id": "ra-3_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom risk assessment results are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "ra-3_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(d)[2]" + } + ], + "prose": [ + "\u003cp\u003edisseminates risk assessment results to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-3_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(e)" + } + ], + "parts": [ + { + "id": "ra-3_obj_e.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(e)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to update the risk assessment;\u003c/p\u003e" + ] + }, + { + "id": "ra-3_obj_e.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(e)[2]" + } + ], + "prose": [ + "\u003cp\u003eupdates the risk assessment:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-3_obj_e.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(e)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ewith the organization-defined frequency;\u003c/p\u003e" + ] + }, + { + "id": "ra-3_obj_e.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(e)[2][b]" + } + ], + "prose": [ + "\u003cp\u003ewhenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities); and\u003c/p\u003e" + ] + }, + { + "id": "ra-3_obj_e.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-3(e)[2][c]" + } + ], + "prose": [ + "\u003cp\u003ewhenever there are other conditions that may impact the security state of the system.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp\u003esecurity planning policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing organizational assessments of risk\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003erisk assessment\u003c/p\u003e", + "\u003cp\u003erisk assessment results\u003c/p\u003e", + "\u003cp\u003erisk assessment reviews\u003c/p\u003e", + "\u003cp\u003erisk assessment updates\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with risk assessment responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for risk assessment\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ra-4", + "class": "SP800-53", + "title": "Risk Assessment Update", + "links": [ + { + "rel": "related", + "href": "#ra-3" + } + ], + "props": [ + { + "class": "name", + "value": "RA-4" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into RA-3\u003c/i\u003e \u003ci\u003eIncorporated into RA-3\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-5", + "class": "SP800-53", + "title": "Vulnerability Scanning", + "params": [ + { + "id": "ra-5_prm_1", + "label": "organization-defined frequency and/or randomly in accordance with organization-defined process" + }, + { + "id": "ra-5_prm_2", + "label": "organization-defined response times" + }, + { + "id": "ra-5_prm_3", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "RA-5" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-5a." + } + ], + "prose": [ + "\u003cp\u003eScans for vulnerabilities in the information system and hosted applications \u003cinsert param-id=\"ra-5_prm_1\"/\u003e and when new vulnerabilities potentially affecting the system/applications are identified and reported;\u003c/p\u003e" + ] + }, + { + "id": "ra-5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-5b." + } + ], + "prose": [ + "\u003cp\u003eEmploys vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-5_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-5b.1." + } + ], + "prose": [ + "\u003cp\u003eEnumerating platforms, software flaws, and improper configurations;\u003c/p\u003e" + ] + }, + { + "id": "ra-5_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-5b.2." + } + ], + "prose": [ + "\u003cp\u003eFormatting checklists and test procedures; and\u003c/p\u003e" + ] + }, + { + "id": "ra-5_smt_b.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-5b.3." + } + ], + "prose": [ + "\u003cp\u003eMeasuring vulnerability impact;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-5_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-5c." + } + ], + "prose": [ + "\u003cp\u003eAnalyzes vulnerability scan reports and results from security control assessments;\u003c/p\u003e" + ] + }, + { + "id": "ra-5_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-5d." + } + ], + "prose": [ + "\u003cp\u003eRemediates legitimate vulnerabilities \u003cinsert param-id=\"ra-5_prm_2\"/\u003e in accordance with an organizational assessment of risk; and\u003c/p\u003e" + ] + }, + { + "id": "ra-5_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "RA-5e." + } + ], + "prose": [ + "\u003cp\u003eShares information obtained from the vulnerability scanning process and security control assessments with \u003cinsert param-id=\"ra-5_prm_3\"/\u003e to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-2" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cm-4" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#ra-2" + }, + { + "rel": "related", + "href": "#ra-3" + }, + { + "rel": "related", + "href": "#sa-11" + }, + { + "rel": "related", + "href": "#si-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-5_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(a)" + } + ], + "parts": [ + { + "id": "ra-5_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(a)[1]" + } + ], + "parts": [ + { + "id": "ra-5_obj_a.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(a)[1][a]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency for conducting vulnerability scans on the information system and hosted applications; and/or\u003c/p\u003e" + ] + }, + { + "id": "ra-5_obj_a.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(a)[1][b]" + } + ], + "prose": [ + "\u003cp\u003edefines the process for conducting random vulnerability scans on the information system and hosted applications;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-5_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ein accordance with the organization-defined frequency and/or organization-defined process for conducting random scans, scans for vulnerabilities in:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-5_obj_a.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(a)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ethe information system;\u003c/p\u003e" + ] + }, + { + "id": "ra-5_obj_a.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(a)[2][b]" + } + ], + "prose": [ + "\u003cp\u003ehosted applications;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-5_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(a)[3]" + } + ], + "prose": [ + "\u003cp\u003ewhen new vulnerabilities potentially affecting the system/applications are identified and reported, scans for vulnerabilities in:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-5_obj_a.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(a)[3][a]" + } + ], + "prose": [ + "\u003cp\u003ethe information system;\u003c/p\u003e" + ] + }, + { + "id": "ra-5_obj_a.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(a)[3][b]" + } + ], + "prose": [ + "\u003cp\u003ehosted applications;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ra-5_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(b)" + } + ], + "prose": [ + "\u003cp\u003eemploys vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-5_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(b)(1)" + } + ], + "parts": [ + { + "id": "ra-5_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eenumerating platforms;\u003c/p\u003e" + ] + }, + { + "id": "ra-5_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eenumerating software flaws;\u003c/p\u003e" + ] + }, + { + "id": "ra-5_obj_b.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(b)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003eenumerating improper configurations;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-5_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(b)(2)" + } + ], + "parts": [ + { + "id": "ra-5_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003eformatting checklists;\u003c/p\u003e" + ] + }, + { + "id": "ra-5_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eformatting test procedures;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-5_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(b)(3)" + } + ], + "prose": [ + "\u003cp\u003emeasuring vulnerability impact;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-5_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(c)" + } + ], + "parts": [ + { + "id": "ra-5_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(c)[1]" + } + ], + "prose": [ + "\u003cp\u003eanalyzes vulnerability scan reports;\u003c/p\u003e" + ] + }, + { + "id": "ra-5_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(c)[2]" + } + ], + "prose": [ + "\u003cp\u003eanalyzes results from security control assessments;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-5_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(d)" + } + ], + "parts": [ + { + "id": "ra-5_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines response times to remediate legitimate vulnerabilities in accordance with an organizational assessment of risk;\u003c/p\u003e" + ] + }, + { + "id": "ra-5_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(d)[2]" + } + ], + "prose": [ + "\u003cp\u003eremediates legitimate vulnerabilities within the organization-defined response times in accordance with an organizational assessment of risk;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-5_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(e)" + } + ], + "parts": [ + { + "id": "ra-5_obj_e.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(e)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles with whom information obtained from the vulnerability scanning process and security control assessments is to be shared;\u003c/p\u003e" + ] + }, + { + "id": "ra-5_obj_e.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(e)[2]" + } + ], + "prose": [ + "\u003cp\u003eshares information obtained from the vulnerability scanning process with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies); and\u003c/p\u003e" + ] + }, + { + "id": "ra-5_obj_e.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(e)[3]" + } + ], + "prose": [ + "\u003cp\u003eshares information obtained from security control assessments with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp\u003erisk assessment\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003evulnerability scanning tools and associated configuration documentation\u003c/p\u003e", + "\u003cp\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with risk assessment, security control assessment and vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with vulnerability remediation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for vulnerability scanning, analysis, remediation, and information sharing\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "ra-5.1", + "class": "SP800-53-enhancement", + "title": "Update Tool Capability", + "props": [ + { + "class": "name", + "value": "RA-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This updating process helps to ensure that potential vulnerabilities in the information system are identified and addressed as quickly as possible.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eProcedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003evulnerability scanning tools and associated configuration documentation\u003c/p\u003e", + "\u003cp\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ra-5.2", + "class": "SP800-53-enhancement", + "title": "Update by Frequency / Prior to New Scan / When Identified", + "params": [ + { + "id": "ra-5.2_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "\n \n " + }, + { + "assignments": null, + "Value": "prior to a new scan" + }, + { + "assignments": null, + "Value": "when new vulnerabilities are identified and reported" + } + ] + } + }, + { + "id": "ra-5.2_prm_2", + "dependsOn": "ra-5.2_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "RA-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization updates the information system vulnerabilities scanned \u003cinsert param-id=\"ra-5.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-5.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to update the information system vulnerabilities scanned;\u003c/p\u003e" + ] + }, + { + "id": "ra-5.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eupdates the information system vulnerabilities scanned one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-5.2_obj_2.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(2)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ewith the organization-defined frequency;\u003c/p\u003e" + ] + }, + { + "id": "ra-5.2_obj_2.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(2)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eprior to a new scan; and/or\u003c/p\u003e" + ] + }, + { + "id": "ra-5.2_obj_2.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(2)[2][c]" + } + ], + "prose": [ + "\u003cp\u003ewhen new vulnerabilities are identified and reported.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eProcedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003evulnerability scanning tools and associated configuration documentation\u003c/p\u003e", + "\u003cp\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ra-5.3", + "class": "SP800-53-enhancement", + "title": "Breadth / Depth of Coverage", + "props": [ + { + "class": "name", + "value": "RA-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs vulnerability scanning procedures that can identify the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs vulnerability scanning procedures that can identify:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-5.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(3)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe breadth of coverage (i.e., information system components scanned); and\u003c/p\u003e" + ] + }, + { + "id": "ra-5.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe depth of coverage (i.e., vulnerabilities checked).\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eProcedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003evulnerability scanning tools and associated configuration documentation\u003c/p\u003e", + "\u003cp\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ra-5.4", + "class": "SP800-53-enhancement", + "title": "Discoverable Information", + "params": [ + { + "id": "ra-5.4_prm_1", + "label": "organization-defined corrective actions" + } + ], + "props": [ + { + "class": "name", + "value": "RA-5 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization determines what information about the information system is discoverable by adversaries and subsequently takes \u003cinsert param-id=\"ra-5.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDiscoverable information includes information that adversaries could obtain without directly compromising or breaching the information system, for example, by collecting information the system is exposing or by conducting extensive searches of the web. Corrective actions can include, for example, notifying appropriate organizational personnel, removing designated information, or changing the information system to make designated information less relevant or attractive to adversaries.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-5.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines corrective actions to be taken if information about the information system is discoverable by adversaries;\u003c/p\u003e" + ] + }, + { + "id": "ra-5.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(4)[2]" + } + ], + "prose": [ + "\u003cp\u003edetermines what information about the information system is discoverable by adversaries; and\u003c/p\u003e" + ] + }, + { + "id": "ra-5.4_obj_4.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(4)[3]" + } + ], + "prose": [ + "\u003cp\u003esubsequently takes organization-defined corrective actions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eProcedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp\u003esecurity assessment report\u003c/p\u003e", + "\u003cp\u003epenetration test results\u003c/p\u003e", + "\u003cp\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp\u003erisk assessment report\u003c/p\u003e", + "\u003cp\u003erecords of corrective actions taken\u003c/p\u003e", + "\u003cp\u003eincident response records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with vulnerability scanning and/or penetration testing responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for risk response\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for incident management and response\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp\u003eorganizational processes for risk response\u003c/p\u003e", + "\u003cp\u003eorganizational processes for incident management and response\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing risk response\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing incident management and response\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ra-5.5", + "class": "SP800-53-enhancement", + "title": "Privileged Access", + "params": [ + { + "id": "ra-5.5_prm_1", + "label": "organization-identified information system components" + }, + { + "id": "ra-5.5_prm_2", + "label": "organization-defined vulnerability scanning activities" + } + ], + "props": [ + { + "class": "name", + "value": "RA-5 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements privileged access authorization to \u003cinsert param-id=\"ra-5.5_prm_1\"/\u003e for selected \u003cinsert param-id=\"ra-5.5_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn certain situations, the nature of the vulnerability scanning may be more intrusive or the information system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and also protects the sensitive nature of such scanning.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-5.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(5)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information system components to which privileged access is authorized for selected vulnerability scanning activities;\u003c/p\u003e" + ] + }, + { + "id": "ra-5.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(5)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines vulnerability scanning activities selected for privileged access authorization to organization-defined information system components; and\u003c/p\u003e" + ] + }, + { + "id": "ra-5.5_obj_5.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-5(5)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements privileged access authorization to organization-defined information system components for selected organization-defined vulnerability scanning activities.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of information system components for vulnerability scanning\u003c/p\u003e", + "\u003cp\u003epersonnel access authorization list\u003c/p\u003e", + "\u003cp\u003eauthorization credentials\u003c/p\u003e", + "\u003cp\u003eaccess authorization records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for access control to the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for configuration management of the information system\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp\u003eorganizational processes for access control\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing access control\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ra-5.6", + "class": "SP800-53-enhancement", + "title": "Automated Trend Analyses", + "props": [ + { + "class": "name", + "value": "RA-5 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ir-4" + }, + { + "rel": "related", + "href": "#ir-5" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003evulnerability scanning tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing trend analysis of vulnerability scan results\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ra-5.7", + "class": "SP800-53-enhancement", + "title": "Automated Detection and Notification of Unauthorized Components", + "links": [ + { + "rel": "related", + "href": "#cm-8" + } + ], + "props": [ + { + "class": "name", + "value": "RA-5 (7)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CM-8\u003c/i\u003e \u003ci\u003eIncorporated into CM-8\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-5.8", + "class": "SP800-53-enhancement", + "title": "Review Historic Audit Logs", + "props": [ + { + "class": "name", + "value": "RA-5 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#au-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp\u003eaudit logs\u003c/p\u003e", + "\u003cp\u003erecords of audit log reviews\u003c/p\u003e", + "\u003cp\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp\u003epatch and vulnerability management records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with audit record review responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp\u003eorganizational process for audit record review and response\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing audit record review\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "ra-5.9", + "class": "SP800-53-enhancement", + "title": "Penetration Testing and Analyses", + "links": [ + { + "rel": "related", + "href": "#ca-8" + } + ], + "props": [ + { + "class": "name", + "value": "RA-5 (9)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CA-8\u003c/i\u003e \u003ci\u003eIncorporated into CA-8\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "ra-5.10", + "class": "SP800-53-enhancement", + "title": "Correlate Scanning Information", + "props": [ + { + "class": "name", + "value": "RA-5 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing vulnerability scanning\u003c/p\u003e", + "\u003cp\u003erisk assessment\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003evulnerability scanning tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp\u003evulnerability management records\u003c/p\u003e", + "\u003cp\u003eaudit records\u003c/p\u003e", + "\u003cp\u003eevent/vulnerability correlation logs\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with vulnerability scanning responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with vulnerability scan analysis responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for vulnerability scanning\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms/tools supporting and/or implementing vulnerability scanning\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing correlation of vulnerability scan results\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "ra-6", + "class": "SP800-53", + "title": "Technical Surveillance Countermeasures Survey", + "params": [ + { + "id": "ra-6_prm_1", + "label": "organization-defined locations" + }, + { + "id": "ra-6_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "\n \n " + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "ra-6_prm_3", + "dependsOn": "ra-6_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "ra-6_prm_4", + "dependsOn": "ra-6_prm_2", + "label": "organization-defined events or indicators occur" + } + ], + "props": [ + { + "class": "name", + "value": "RA-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs a technical surveillance countermeasures survey at \u003cinsert param-id=\"ra-6_prm_1\"/\u003e \u003cinsert param-id=\"ra-6_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTechnical surveillance countermeasures surveys are performed by qualified personnel to detect the presence of technical surveillance devices/hazards and to identify technical security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities. Such surveys provide evaluations of the technical security postures of organizations and facilities and typically include thorough visual, electronic, and physical examinations in and about surveyed facilities. The surveys also provide useful input into risk assessments and organizational exposure to potential adversaries.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-6_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-6[1]" + } + ], + "prose": [ + "\u003cp\u003edefines locations to employ technical surveillance countermeasure surveys;\u003c/p\u003e" + ] + }, + { + "id": "ra-6_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-6[2]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to employ technical surveillance countermeasure surveys;\u003c/p\u003e" + ] + }, + { + "id": "ra-6_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-6[3]" + } + ], + "prose": [ + "\u003cp\u003edefines events or indicators which, if they occur, trigger a technical surveillance countermeasures survey;\u003c/p\u003e" + ] + }, + { + "id": "ra-6_obj_4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-6[4]" + } + ], + "prose": [ + "\u003cp\u003eemploys a technical surveillance countermeasures survey at organization-defined locations one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "ra-6_obj_4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-6[4][a]" + } + ], + "prose": [ + "\u003cp\u003ewith the organization-defined frequency; and/or\u003c/p\u003e" + ] + }, + { + "id": "ra-6_obj_4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "RA-6[4][b]" + } + ], + "prose": [ + "\u003cp\u003ewhen organization-defined events or indicators occur.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eRisk assessment policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing technical surveillance countermeasures surveys\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003eaudit records/event logs\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with technical surveillance countermeasures surveys responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for technical surveillance countermeasures surveys\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms/tools supporting and/or implementing technical surveillance countermeasures surveys\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "System and Services Acquisition", + "controls": [ + { + "id": "sa-1", + "class": "SP800-53", + "title": "System and Services Acquisition Policy and Procedures", + "params": [ + { + "id": "sa-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "sa-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "sa-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SA-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"sa-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-1a.1." + } + ], + "prose": [ + "\u003cp\u003eA system and services acquisition policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "sa-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-1b.1." + } + ], + "prose": [ + "\u003cp\u003eSystem and services acquisition policy \u003cinsert param-id=\"sa-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "sa-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-1b.2." + } + ], + "prose": [ + "\u003cp\u003eSystem and services acquisition procedures \u003cinsert param-id=\"sa-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)" + } + ], + "parts": [ + { + "id": "sa-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents a system and services acquisition policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "sa-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "sa-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "sa-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "sa-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "sa-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "sa-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the system and services acquisition policy is to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "sa-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the system and services acquisition policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(2)" + } + ], + "parts": [ + { + "id": "sa-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls;\u003c/p\u003e" + ] + }, + { + "id": "sa-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "sa-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(b)(1)" + } + ], + "parts": [ + { + "id": "sa-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current system and services acquisition policy;\u003c/p\u003e" + ] + }, + { + "id": "sa-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current system and services acquisition policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(b)(2)" + } + ], + "parts": [ + { + "id": "sa-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current system and services acquisition procedures; and\u003c/p\u003e" + ] + }, + { + "id": "sa-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current system and services acquisition procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sa-2", + "class": "SP800-53", + "title": "Allocation of Resources", + "props": [ + { + "class": "name", + "value": "SA-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-2a." + } + ], + "prose": [ + "\u003cp\u003eDetermines information security requirements for the information system or information system service in mission/business process planning;\u003c/p\u003e" + ] + }, + { + "id": "sa-2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-2b." + } + ], + "prose": [ + "\u003cp\u003eDetermines, documents, and allocates the resources required to protect the information system or information system service as part of its capital planning and investment control process; and\u003c/p\u003e" + ] + }, + { + "id": "sa-2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-2c." + } + ], + "prose": [ + "\u003cp\u003eEstablishes a discrete line item for information security in organizational programming and budgeting documentation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eResource allocation for information security includes funding for the initial information system or information system service acquisition and funding for the sustainment of the system/service.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-3" + }, + { + "rel": "related", + "href": "#pm-11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-2_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-2(a)" + } + ], + "prose": [ + "\u003cp\u003edetermines information security requirements for the information system or information system service in mission/business process planning;\u003c/p\u003e" + ] + }, + { + "id": "sa-2_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-2(b)" + } + ], + "prose": [ + "\u003cp\u003eto protect the information system or information system service as part of its capital planning and investment control process:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-2_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-2(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edetermines the resources required;\u003c/p\u003e" + ] + }, + { + "id": "sa-2_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-2(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edocuments the resources required;\u003c/p\u003e" + ] + }, + { + "id": "sa-2_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-2(b)[3]" + } + ], + "prose": [ + "\u003cp\u003eallocates the resources required; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-2_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-2(c)" + } + ], + "prose": [ + "\u003cp\u003eestablishes a discrete line item for information security in organizational programming and budgeting documentation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the allocation of resources to information security requirements\u003c/p\u003e", + "\u003cp\u003eprocedures addressing capital planning and investment control\u003c/p\u003e", + "\u003cp\u003eorganizational programming and budgeting documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with capital planning, investment control, organizational programming and budgeting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for determining information security requirements for information systems/services\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for determining information security requirements\u003c/p\u003e", + "\u003cp\u003eorganizational processes for capital planning, programming, and budgeting\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sa-3", + "class": "SP800-53", + "title": "System Development Life Cycle", + "params": [ + { + "id": "sa-3_prm_1", + "label": "organization-defined system development life cycle" + } + ], + "props": [ + { + "class": "name", + "value": "SA-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-3a." + } + ], + "prose": [ + "\u003cp\u003eManages the information system using \u003cinsert param-id=\"sa-3_prm_1\"/\u003e that incorporates information security considerations;\u003c/p\u003e" + ] + }, + { + "id": "sa-3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-3b." + } + ], + "prose": [ + "\u003cp\u003eDefines and documents information security roles and responsibilities throughout the system development life cycle;\u003c/p\u003e" + ] + }, + { + "id": "sa-3_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-3c." + } + ], + "prose": [ + "\u003cp\u003eIdentifies individuals having information security roles and responsibilities; and\u003c/p\u003e" + ] + }, + { + "id": "sa-3_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-3d." + } + ], + "prose": [ + "\u003cp\u003eIntegrates the organizational information security risk management process into system development life cycle activities.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA well-defined system development life cycle provides the foundation for the successful development, implementation, and operation of organizational information systems. To apply the required security controls within the system development life cycle requires a basic understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical missions/business functions. The security engineering principles in SA-8 cannot be properly applied if individuals that design, code, and test information systems and system components (including information technology products) do not understand security. Therefore, organizations include qualified personnel, for example, chief information security officers, security architects, security engineers, and information system security officers in system development life cycle activities to ensure that security requirements are incorporated into organizational information systems. It is equally important that developers include individuals on the development team that possess the requisite security expertise and skills to ensure that needed security capabilities are effectively integrated into the information system. Security awareness and training programs can help ensure that individuals having key security roles and responsibilities have the appropriate experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security requirements into enterprise architecture also helps to ensure that important security considerations are addressed early in the system development life cycle and that those considerations are directly related to the organizational mission/business processes. This process also facilitates the integration of the information security architecture into the enterprise architecture, consistent with organizational risk management and information security strategies.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#pm-7" + }, + { + "rel": "related", + "href": "#sa-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-3_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-3(a)" + } + ], + "parts": [ + { + "id": "sa-3_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-3(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a system development life cycle that incorporates information security considerations to be used to manage the information system;\u003c/p\u003e" + ] + }, + { + "id": "sa-3_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-3(a)[2]" + } + ], + "prose": [ + "\u003cp\u003emanages the information system using the organization-defined system development life cycle;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-3_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-3(b)" + } + ], + "prose": [ + "\u003cp\u003edefines and documents information security roles and responsibilities throughout the system development life cycle;\u003c/p\u003e" + ] + }, + { + "id": "sa-3_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-3(c)" + } + ], + "prose": [ + "\u003cp\u003eidentifies individuals having information security roles and responsibilities; and\u003c/p\u003e" + ] + }, + { + "id": "sa-3_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-3(d)" + } + ], + "prose": [ + "\u003cp\u003eintegrates the organizational information security risk management process into system development life cycle activities.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security into the system development life cycle process\u003c/p\u003e", + "\u003cp\u003einformation system development life cycle documentation\u003c/p\u003e", + "\u003cp\u003einformation security risk management strategy/program documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security and system life cycle development responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security risk management responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining and documenting the SDLC\u003c/p\u003e", + "\u003cp\u003eorganizational processes for identifying SDLC roles and responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational process for integrating information security risk management into the SDLC\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the SDLC\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sa-4", + "class": "SP800-53", + "title": "Acquisition Process", + "props": [ + { + "class": "name", + "value": "SA-4" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-4a." + } + ], + "prose": [ + "\u003cp\u003eSecurity functional requirements;\u003c/p\u003e" + ] + }, + { + "id": "sa-4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-4b." + } + ], + "prose": [ + "\u003cp\u003eSecurity strength requirements;\u003c/p\u003e" + ] + }, + { + "id": "sa-4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-4c." + } + ], + "prose": [ + "\u003cp\u003eSecurity assurance requirements;\u003c/p\u003e" + ] + }, + { + "id": "sa-4_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-4d." + } + ], + "prose": [ + "\u003cp\u003eSecurity-related documentation requirements;\u003c/p\u003e" + ] + }, + { + "id": "sa-4_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-4e." + } + ], + "prose": [ + "\u003cp\u003eRequirements for protecting security-related documentation;\u003c/p\u003e" + ] + }, + { + "id": "sa-4_smt_f", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-4f." + } + ], + "prose": [ + "\u003cp\u003eDescription of the information system development environment and environment in which the system is intended to operate; and\u003c/p\u003e" + ] + }, + { + "id": "sa-4_smt_g", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-4g." + } + ], + "prose": [ + "\u003cp\u003eAcceptance criteria.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system components are discrete, identifiable information technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an information system. Information system components include commercial information technology products. Security functional requirements include security capabilities, security functions, and security mechanisms. Security strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to direct attack, and resistance to tampering or bypass. Security assurance requirements include: (i) development processes, procedures, practices, and methodologies; and (ii) evidence from development and assessment activities providing grounds for confidence that the required security functionality has been implemented and the required security strength has been achieved. Security documentation requirements address all phases of the system development life cycle. Security functionality, assurance, and documentation requirements are expressed in terms of security controls and control enhancements that have been selected through the tailoring process. The security control tailoring process includes, for example, the specification of parameter values through the use of assignment and selection statements and the specification of platform dependencies and implementation information. Security documentation provides user and administrator guidance regarding the implementation and operation of security controls. The level of detail required in security documentation is based on the security category or classification level of the information system and the degree to which organizations depend on the stated security capability, functions, or mechanisms to meet overall risk response expectations (as defined in the organizational risk management strategy). Security requirements can also include organizationally mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for information systems, information system components, and information system services are defined in the same manner as such criteria for any organizational acquisition or procurement. The Federal Acquisition Regulation (FAR) Section 7.103 contains information security requirements from FISMA.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#pl-2" + }, + { + "rel": "related", + "href": "#ps-7" + }, + { + "rel": "related", + "href": "#sa-3" + }, + { + "rel": "related", + "href": "#sa-5" + }, + { + "rel": "related", + "href": "#sa-8" + }, + { + "rel": "related", + "href": "#sa-11" + }, + { + "rel": "related", + "href": "#sa-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contracts for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(a)" + } + ], + "prose": [ + "\u003cp\u003esecurity functional requirements;\u003c/p\u003e" + ] + }, + { + "id": "sa-4_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(b)" + } + ], + "prose": [ + "\u003cp\u003esecurity strength requirements;\u003c/p\u003e" + ] + }, + { + "id": "sa-4_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(c)" + } + ], + "prose": [ + "\u003cp\u003esecurity assurance requirements;\u003c/p\u003e" + ] + }, + { + "id": "sa-4_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(d)" + } + ], + "prose": [ + "\u003cp\u003esecurity-related documentation requirements;\u003c/p\u003e" + ] + }, + { + "id": "sa-4_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(e)" + } + ], + "prose": [ + "\u003cp\u003erequirements for protecting security-related documentation;\u003c/p\u003e" + ] + }, + { + "id": "sa-4_obj_f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(f)" + } + ], + "prose": [ + "\u003cp\u003edescription of:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4_obj_f.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(f)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe information system development environment;\u003c/p\u003e" + ] + }, + { + "id": "sa-4_obj_f.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(f)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe environment in which the system is intended to operate; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-4_obj_g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(g)" + } + ], + "prose": [ + "\u003cp\u003eacceptance criteria.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for determining information system security functional, strength, and assurance requirements\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for determining information system security functional, strength, and assurance requirements\u003c/p\u003e", + "\u003cp\u003eorganizational processes for developing acquisition contracts\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sa-4.1", + "class": "SP800-53-enhancement", + "title": "Functional Properties of Security Controls", + "props": [ + { + "class": "name", + "value": "SA-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFunctional properties of security controls describe the functionality (i.e., security capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp\u003esolicitation documents\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system services\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for determining information system security functional requirements\u003c/p\u003e", + "\u003cp\u003einformation system developer or service provider\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for determining information system security functional, requirements\u003c/p\u003e", + "\u003cp\u003eorganizational processes for developing acquisition contracts\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-4.2", + "class": "SP800-53-enhancement", + "title": "Design / Implementation Information for Security Controls", + "params": [ + { + "id": "sa-4.2_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "security-relevant external system interfaces" + }, + { + "assignments": null, + "Value": "high-level design" + }, + { + "assignments": null, + "Value": "low-level design" + }, + { + "assignments": null, + "Value": "source code or hardware schematics" + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "sa-4.2_prm_2", + "dependsOn": "sa-4.2_prm_1", + "label": "organization-defined design/implementation information" + }, + { + "id": "sa-4.2_prm_3", + "label": "organization-defined level of detail" + } + ], + "props": [ + { + "class": "name", + "value": "SA-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes: \u003cinsert param-id=\"sa-4.2_prm_1\"/\u003e at \u003cinsert param-id=\"sa-4.2_prm_3\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may require different levels of detail in design and implementation documentation for security controls employed in organizational information systems, system components, or information system services based on mission/business requirements, requirements for trustworthiness/resiliency, and requirements for analysis and testing. Information systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of multiple subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules with particular emphasis on software and firmware (but not excluding hardware) and the interfaces between modules providing security-relevant functionality. Source code and hardware schematics are typically referred to as the implementation representation of the information system.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines level of detail that the developer is required to provide in design and implementation information for the security controls to be employed in the information system, system component, or information system service;\u003c/p\u003e" + ] + }, + { + "id": "sa-4.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines design/implementation information that the developer is to provide for the security controls to be employed (if selected);\u003c/p\u003e" + ] + }, + { + "id": "sa-4.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(2)[3]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes, at the organization-defined level of detail, one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4.2_obj_2.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][a]" + } + ], + "prose": [ + "\u003cp\u003esecurity-relevant external system interfaces;\u003c/p\u003e" + ] + }, + { + "id": "sa-4.2_obj_2.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][b]" + } + ], + "prose": [ + "\u003cp\u003ehigh-level design;\u003c/p\u003e" + ] + }, + { + "id": "sa-4.2_obj_2.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][c]" + } + ], + "prose": [ + "\u003cp\u003elow-level design;\u003c/p\u003e" + ] + }, + { + "id": "sa-4.2_obj_2.3.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][d]" + } + ], + "prose": [ + "\u003cp\u003esource code;\u003c/p\u003e" + ] + }, + { + "id": "sa-4.2_obj_2.3.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][e]" + } + ], + "prose": [ + "\u003cp\u003ehardware schematics; and/or\u003c/p\u003e" + ] + }, + { + "id": "sa-4.2_obj_2.3.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(2)[3][f]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined design/implementation information.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp\u003esolicitation documents\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system components, or information system services\u003c/p\u003e", + "\u003cp\u003edesign and implementation information for security controls employed in the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp\u003einformation system developer or service provider\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for determining level of detail for system design and security controls\u003c/p\u003e", + "\u003cp\u003eorganizational processes for developing acquisition contracts\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing development of system design details\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-4.3", + "class": "SP800-53-enhancement", + "title": "Development Methods / Techniques / Practices", + "params": [ + { + "id": "sa-4.3_prm_1", + "label": "organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes" + } + ], + "props": [ + { + "class": "name", + "value": "SA-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes \u003cinsert param-id=\"sa-4.3_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFollowing a well-defined system development life cycle that includes state-of-the-practice software development methods, systems/security engineering methods, quality control processes, and testing, evaluation, and validation techniques helps to reduce the number and severity of latent errors within information systems, system components, and information system services. Reducing the number/severity of such errors reduces the number of vulnerabilities in those systems, components, and services.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines state-of-the-practice system/security engineering methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ] + }, + { + "id": "sa-4.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines software development methods to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ] + }, + { + "id": "sa-4.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(3)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines testing/evaluation/validation techniques to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ] + }, + { + "id": "sa-4.3_obj_3.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(3)[4]" + } + ], + "prose": [ + "\u003cp\u003edefines quality control processes to be included in the system development life cycle employed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ] + }, + { + "id": "sa-4.3_obj_3.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(3)[5]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4.3_obj_3.5.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(3)[5][a]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined state-of-the-practice system/security engineering methods;\u003c/p\u003e" + ] + }, + { + "id": "sa-4.3_obj_3.5.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(3)[5][b]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined software development methods;\u003c/p\u003e" + ] + }, + { + "id": "sa-4.3_obj_3.5.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(3)[5][c]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined testing/evaluation/validation techniques; and\u003c/p\u003e" + ] + }, + { + "id": "sa-4.3_obj_3.5.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(3)[5][d]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined quality control processes.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp\u003esolicitation documents\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003elist of system/security engineering methods to be included in developer’s system development life cycle process\u003c/p\u003e", + "\u003cp\u003elist of software development methods to be included in developer’s system development life cycle process\u003c/p\u003e", + "\u003cp\u003elist of testing/evaluation/validation techniques to be included in developer’s system development life cycle process\u003c/p\u003e", + "\u003cp\u003elist of quality control processes to be included in developer’s system development life cycle process\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security and system life cycle responsibilities\u003c/p\u003e", + "\u003cp\u003einformation system developer or service provider\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for development methods, techniques, and processes\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-4.4", + "class": "SP800-53-enhancement", + "title": "Assignment of Components to Systems", + "links": [ + { + "rel": "related", + "href": "#cm-8.9" + } + ], + "props": [ + { + "class": "name", + "value": "SA-4 (4)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CM-8 (9)\u003c/i\u003e \u003ci\u003eIncorporated into CM-8 (9)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-4.5", + "class": "SP800-53-enhancement", + "title": "System / Component / Service Configurations", + "params": [ + { + "id": "sa-4.5_prm_1", + "label": "organization-defined security configurations" + } + ], + "props": [ + { + "class": "name", + "value": "SA-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4.5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-4 (5)(a)" + } + ], + "prose": [ + "\u003cp\u003eDeliver the system, component, or service with \u003cinsert param-id=\"sa-4.5_prm_1\"/\u003e implemented; and\u003c/p\u003e" + ] + }, + { + "id": "sa-4.5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-4 (5)(b)" + } + ], + "prose": [ + "\u003cp\u003eUse the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity configurations include, for example, the U.S. Government Configuration Baseline (USGCB) and any limitations on functions, ports, protocols, and services. Security characteristics include, for example, requiring that all default passwords have been changed.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4.5_obj_5.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(5)(a)" + } + ], + "parts": [ + { + "id": "sa-4.5_obj_5.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(5)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security configurations to be implemented by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ] + }, + { + "id": "sa-4.5_obj_5.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(5)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to deliver the system, component, or service with organization-defined security configurations implemented; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-4.5_obj_5.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(5)(b)" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to use the configurations as the default for any subsequent system, component, or service reinstallation or upgrade.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp\u003esolicitation documents\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esecurity configurations to be implemented by developer of the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp\u003einformation system developer or service provider\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms used to verify that the configuration of the information system, component, or service, as delivered, is as specified\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-4.6", + "class": "SP800-53-enhancement", + "title": "Use of Information Assurance Products", + "props": [ + { + "class": "name", + "value": "SA-4 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4.6_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-4 (6)(a)" + } + ], + "prose": [ + "\u003cp\u003eEmploys only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and\u003c/p\u003e" + ] + }, + { + "id": "sa-4.6_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-4 (6)(b)" + } + ], + "prose": [ + "\u003cp\u003eEnsures that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved procedures.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCOTS IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-8" + }, + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4.6_obj_6.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(6)(a)" + } + ], + "prose": [ + "\u003cp\u003eemploys only government off-the-shelf (GOTS) or commercial off-the-shelf (COTS) information assurance (IA) and IA-enabled information technology products that compose an NSA-approved solution to protect classified information when the networks used to transmit the information are at a lower classification level than the information being transmitted; and\u003c/p\u003e" + ] + }, + { + "id": "sa-4.6_obj_6.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(6)(b)" + } + ], + "prose": [ + "\u003cp\u003eensures that these products have been evaluated and/or validated by the NSA or in accordance with NSA-approved procedures.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp\u003esolicitation documents\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esecurity configurations to be implemented by developer of the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for ensuring information assurance products are NSA-approved and are evaluated and/or validated products in accordance with NSA-approved procedures\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for selecting and employing evaluated and/or validated information assurance products and services that compose an NSA-approved solution to protect classified information\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-4.7", + "class": "SP800-53-enhancement", + "title": "Niap-approved Protection Profiles", + "props": [ + { + "class": "name", + "value": "SA-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4.7_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-4 (7)(a)" + } + ], + "prose": [ + "\u003cp\u003eLimits the use of commercially provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and\u003c/p\u003e" + ] + }, + { + "id": "sa-4.7_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-4 (7)(b)" + } + ], + "prose": [ + "\u003cp\u003eRequires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4.7_obj_7.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(7)(a)" + } + ], + "prose": [ + "\u003cp\u003elimits the use of commercially-provided information assurance (IA) and IA-enabled information technology products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile for a specific technology type, if such a profile exists; and\u003c/p\u003e" + ] + }, + { + "id": "sa-4.7_obj_7.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(7)(b)" + } + ], + "prose": [ + "\u003cp\u003erequires, if no NIAP-approved Protection Profile exists for a specific technology type but a commercially provided information technology product relies on cryptographic functionality to enforce its security policy, that the cryptographic module is FIPS-validated.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp\u003esolicitation documents\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003eNAIP-approved protection profiles\u003c/p\u003e", + "\u003cp\u003eFIPS-validation information for cryptographic functionality\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for ensuring information assurance products are have been evaluated against a NIAP-approved protection profile or for ensuring products relying on cryptographic functionality are FIPS-validated\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for selecting and employing products/services evaluated against a NIAP-approved protection profile or FIPS-validated products\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-4.8", + "class": "SP800-53-enhancement", + "title": "Continuous Monitoring Plan", + "params": [ + { + "id": "sa-4.8_prm_1", + "label": "organization-defined level of detail" + } + ], + "props": [ + { + "class": "name", + "value": "SA-4 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains \u003cinsert param-id=\"sa-4.8_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe objective of continuous monitoring plans is to determine if the complete set of planned, required, and deployed security controls within the information system, system component, or information system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into the continuous monitoring strategies and programs implemented by organizations.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4.8_obj_8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(8)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the level of detail the developer of the information system, system component, or information system service is required to provide when producing a plan for the continuous monitoring of security control effectiveness; and\u003c/p\u003e" + ] + }, + { + "id": "sa-4.8_obj_8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(8)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains the organization-defined level of detail.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing developer continuous monitoring plans\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp\u003edeveloper continuous monitoring plans\u003c/p\u003e", + "\u003cp\u003esecurity assessment plans\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp\u003einformation system developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eVendor processes for continuous monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing developer continuous monitoring\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-4.9", + "class": "SP800-53-enhancement", + "title": "Functions / Ports / Protocols / Services in Use", + "props": [ + { + "class": "name", + "value": "SA-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle, the functions, ports, protocols, and services intended for organizational use.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design phases) allows organizations to influence the design of the information system, information system component, or information system service. This early involvement in the life cycle helps organizations to avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services (or when requiring information system service providers to do so). Early identification of functions, ports, protocols, and services avoids costly retrofitting of security controls after the information system, system component, or information system service has been implemented. SA-9 describes requirements for external information system services with organizations identifying which functions, ports, protocols, and services are provided from external sources.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-7" + }, + { + "rel": "related", + "href": "#sa-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-4.9_obj_9.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(9)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe functions intended for organizational use;\u003c/p\u003e" + ] + }, + { + "id": "sa-4.9_obj_9.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(9)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe ports intended for organizational use;\u003c/p\u003e" + ] + }, + { + "id": "sa-4.9_obj_9.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(9)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe protocols intended for organizational use; and\u003c/p\u003e" + ] + }, + { + "id": "sa-4.9_obj_9.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-4(9)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe services intended for organizational use.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system documentation including functions, ports, protocols, and services intended for organizational use\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for information systems or services\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eorganizational security requirements, descriptions, and criteria for developers of information systems, system components, and information system services\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003einformation system developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-4.10", + "class": "SP800-53-enhancement", + "title": "Use of Approved PIV Products", + "props": [ + { + "class": "name", + "value": "SA-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ia-2" + }, + { + "rel": "related", + "href": "#ia-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for ensuring only FIPS 201-approved products are implemented\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for selecting and employing FIPS 201-approved products\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sa-5", + "class": "SP800-53", + "title": "Information System Documentation", + "params": [ + { + "id": "sa-5_prm_1", + "label": "organization-defined actions" + }, + { + "id": "sa-5_prm_2", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SA-5" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-5a." + } + ], + "prose": [ + "\u003cp\u003eObtains administrator documentation for the information system, system component, or information system service that describes:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-5_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-5a.1." + } + ], + "prose": [ + "\u003cp\u003eSecure configuration, installation, and operation of the system, component, or service;\u003c/p\u003e" + ] + }, + { + "id": "sa-5_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-5a.2." + } + ], + "prose": [ + "\u003cp\u003eEffective use and maintenance of security functions/mechanisms; and\u003c/p\u003e" + ] + }, + { + "id": "sa-5_smt_a.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-5a.3." + } + ], + "prose": [ + "\u003cp\u003eKnown vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-5b." + } + ], + "prose": [ + "\u003cp\u003eObtains user documentation for the information system, system component, or information system service that describes:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-5_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-5b.1." + } + ], + "prose": [ + "\u003cp\u003eUser-accessible security functions/mechanisms and how to effectively use those security functions/mechanisms;\u003c/p\u003e" + ] + }, + { + "id": "sa-5_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-5b.2." + } + ], + "prose": [ + "\u003cp\u003eMethods for user interaction, which enables individuals to use the system, component, or service in a more secure manner; and\u003c/p\u003e" + ] + }, + { + "id": "sa-5_smt_b.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-5b.3." + } + ], + "prose": [ + "\u003cp\u003eUser responsibilities in maintaining the security of the system, component, or service;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-5_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-5c." + } + ], + "prose": [ + "\u003cp\u003eDocuments attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent and takes \u003cinsert param-id=\"sa-5_prm_1\"/\u003e in response;\u003c/p\u003e" + ] + }, + { + "id": "sa-5_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-5d." + } + ], + "prose": [ + "\u003cp\u003eProtects documentation as required, in accordance with the risk management strategy; and\u003c/p\u003e" + ] + }, + { + "id": "sa-5_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-5e." + } + ], + "prose": [ + "\u003cp\u003eDistributes documentation to \u003cinsert param-id=\"sa-5_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control helps organizational personnel understand the implementation and operation of security controls associated with information systems, system components, and information system services. Organizations consider establishing specific measures to determine the quality/completeness of the content provided. The inability to obtain needed documentation may occur, for example, due to the age of the information system/component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the effective implementation or operation of security controls. The level of protection provided for selected information system, component, or service documentation is commensurate with the security category or classification of the system. For example, documentation associated with a key DoD weapons system or command and control system would typically require a higher level of protection than a routine administrative system. Documentation that addresses information system vulnerabilities may also require an increased level of protection. Secure operation of the information system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#cm-8" + }, + { + "rel": "related", + "href": "#pl-2" + }, + { + "rel": "related", + "href": "#pl-4" + }, + { + "rel": "related", + "href": "#ps-2" + }, + { + "rel": "related", + "href": "#sa-3" + }, + { + "rel": "related", + "href": "#sa-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-5_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-5(a)" + } + ], + "prose": [ + "\u003cp\u003eobtains administrator documentation for the information system, system component, or information system service that describes:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-5_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-5(a)(1)" + } + ], + "parts": [ + { + "id": "sa-5_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-5(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003esecure configuration of the system, system component, or service;\u003c/p\u003e" + ] + }, + { + "id": "sa-5_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-5(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003esecure installation of the system, system component, or service;\u003c/p\u003e" + ] + }, + { + "id": "sa-5_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-5(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003esecure operation of the system, system component, or service;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-5_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-5(a)(2)" + } + ], + "parts": [ + { + "id": "sa-5_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-5(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003eeffective use of the security features/mechanisms;\u003c/p\u003e" + ] + }, + { + "id": "sa-5_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-5(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eeffective maintenance of the security features/mechanisms;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-5_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-5(a)(3)" + } + ], + "prose": [ + "\u003cp\u003eknown vulnerabilities regarding configuration and use of administrative (i.e., privileged) functions;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-5_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-5(b)" + } + ], + "prose": [ + "\u003cp\u003eobtains user documentation for the information system, system component, or information system service that 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[ + { + "class": "name", + "value": "SA-5(e)[2]" + } + ], + "prose": [ + "\u003cp\u003edistributes documentation to organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system documentation\u003c/p\u003e", + "\u003cp\u003einformation system documentation including administrator and user guides\u003c/p\u003e", + "\u003cp\u003erecords documenting attempts to obtain unavailable or nonexistent information system documentation\u003c/p\u003e", + "\u003cp\u003elist of actions to be taken in response to documented attempts to obtain information system, system component, or information system service documentation\u003c/p\u003e", + "\u003cp\u003erisk management strategy documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp\u003esystem administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel operating, using, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003einformation system developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for obtaining, protecting, and distributing information system administrator and user documentation\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sa-5.1", + "class": "SP800-53-enhancement", + "title": "Functional Properties of Security Controls", + "links": [ + { + "rel": "related", + "href": "#sa-4.1" + } + ], + "props": [ + { + "class": "name", + "value": "SA-5 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SA-4 (1)\u003c/i\u003e \u003ci\u003eIncorporated into SA-4 (1)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-5.2", + "class": "SP800-53-enhancement", + "title": "Security-relevant External System Interfaces", + "links": [ + { + "rel": "related", + "href": "#sa-4.2" + } + ], + "props": [ + { + "class": "name", + "value": "SA-5 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SA-4 (2)\u003c/i\u003e \u003ci\u003eIncorporated into SA-4 (2)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-5.3", + "class": "SP800-53-enhancement", + "title": "High-level Design", + "links": [ + { + "rel": "related", + "href": "#sa-4.2" + } + ], + "props": [ + { + "class": "name", + "value": "SA-5 (3)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SA-4 (2)\u003c/i\u003e \u003ci\u003eIncorporated into SA-4 (2)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-5.4", + "class": "SP800-53-enhancement", + "title": "Low-level Design", + "links": [ + { + "rel": "related", + "href": "#sa-4.2" + } + ], + "props": [ + { + "class": "name", + "value": "SA-5 (4)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SA-4 (2)\u003c/i\u003e \u003ci\u003eIncorporated into SA-4 (2)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-5.5", + "class": "SP800-53-enhancement", + "title": "Source Code", + "links": [ + { + "rel": "related", + "href": "#sa-4.2" + } + ], + "props": [ + { + "class": "name", + "value": "SA-5 (5)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SA-4 (2)\u003c/i\u003e \u003ci\u003eIncorporated into SA-4 (2)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-6", + "class": "SP800-53", + "title": "Software Usage Restrictions", + "links": [ + { + "rel": "related", + "href": "#cm-10" + }, + { + "rel": "related", + "href": "#si-7" + } + ], + "props": [ + { + "class": "name", + "value": "SA-6" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CM-10 and SI-7\u003c/i\u003e \u003ci\u003eIncorporated into CM-10 and SI-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-7", + "class": "SP800-53", + "title": "User-installed Software", + "links": [ + { + "rel": "related", + "href": "#cm-11" + }, + { + "rel": "related", + "href": "#si-7" + } + ], + "props": [ + { + "class": "name", + "value": "SA-7" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into CM-11 and SI-7\u003c/i\u003e \u003ci\u003eIncorporated into CM-11 and SI-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-8", + "class": "SP800-53", + "title": "Security Engineering Principles", + "props": [ + { + "class": "name", + "value": "SA-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations apply security engineering principles primarily to new development information systems or systems undergoing major upgrades. For legacy systems, organizations apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware within those systems. Security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security requirements into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring that system developers are trained on how to build secure software; (vi) tailoring security controls to meet organizational and operational needs; (vii) performing threat modeling to identify use cases, threat agents, attack vectors, and attack patterns as well as compensating controls and design patterns needed to mitigate risk; and (viii) reducing risk to acceptable levels, thus enabling informed risk management decisions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-7" + }, + { + "rel": "related", + "href": "#sa-3" + }, + { + "rel": "related", + "href": "#sa-4" + }, + { + "rel": "related", + "href": "#sa-17" + }, + { + "rel": "related", + "href": "#sc-2" + }, + { + "rel": "related", + "href": "#sc-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization applies information system security engineering principles in: \u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-8_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-8[1]" + } + ], + "prose": [ + "\u003cp\u003ethe specification of the information system;\u003c/p\u003e" + ] + }, + { + "id": "sa-8_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-8[2]" + } + ], + "prose": [ + "\u003cp\u003ethe design of the information system;\u003c/p\u003e" + ] + }, + { + "id": "sa-8_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-8[3]" + } + ], + "prose": [ + "\u003cp\u003ethe development of the information system;\u003c/p\u003e" + ] + }, + { + "id": "sa-8_obj_4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-8[4]" + } + ], + "prose": [ + "\u003cp\u003ethe implementation of the information system; and\u003c/p\u003e" + ] + }, + { + "id": "sa-8_obj_5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-8[5]" + } + ], + "prose": [ + "\u003cp\u003ethe modification of the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security engineering principles used in the specification, design, development, implementation, and modification of the information system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation security requirements and specifications for the information system\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with acquisition/contracting responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for determining information system security requirements\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system specification, design, development, implementation, and modification responsibilities\u003c/p\u003e", + "\u003cp\u003einformation system developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for applying security engineering principles in information system specification, design, development, implementation, and modification\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting the application of security engineering principles in information system specification, design, development, implementation, and modification\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sa-9", + "class": "SP800-53", + "title": "External Information System Services", + "params": [ + { + "id": "sa-9_prm_1", + "label": "organization-defined security controls" + }, + { + "id": "sa-9_prm_2", + "label": "organization-defined processes, methods, and techniques" + } + ], + "props": [ + { + "class": "name", + "value": "SA-9" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-9_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-9a." + } + ], + "prose": [ + "\u003cp\u003eRequires that providers of external information system services comply with organizational information security requirements and employ \u003cinsert param-id=\"sa-9_prm_1\"/\u003e in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;\u003c/p\u003e" + ] + }, + { + "id": "sa-9_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-9b." + } + ], + "prose": [ + "\u003cp\u003eDefines and documents government oversight and user roles and responsibilities with regard to external information system services; and\u003c/p\u003e" + ] + }, + { + "id": "sa-9_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-9c." + } + ], + "prose": [ + "\u003cp\u003eEmploys \u003cinsert param-id=\"sa-9_prm_2\"/\u003e to monitor security control compliance by external service providers on an ongoing basis.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal information system services are services that are implemented outside of the authorization boundaries of organizational information systems. This includes services that are used by, but not a part of, organizational information systems. FISMA and OMB policy require that organizations using external service providers that are processing, storing, or transmitting federal information or operating information systems on behalf of the federal government ensure that such providers meet the same security requirements that federal agencies are required to meet. Organizations establish relationships with external service providers in a variety of ways including, for example, through joint ventures, business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, and supply chain exchanges. The responsibility for managing risks from the use of external information system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External information system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for security controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-3" + }, + { + "rel": "related", + "href": "#ir-7" + }, + { + "rel": "related", + "href": "#ps-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-9_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(a)" + } + ], + "parts": [ + { + "id": "sa-9_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security controls to be employed by providers of external information system services;\u003c/p\u003e" + ] + }, + { + "id": "sa-9_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(a)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires that providers of external information system services comply with organizational information security requirements;\u003c/p\u003e" + ] + }, + { + "id": "sa-9_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(a)[3]" + } + ], + "prose": [ + "\u003cp\u003erequires that providers of external information system services employ organization-defined security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-9_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(b)" + } + ], + "parts": [ + { + "id": "sa-9_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines and documents government oversight with regard to external information system services;\u003c/p\u003e" + ] + }, + { + "id": "sa-9_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines and documents user roles and responsibilities with regard to external information system services;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-9_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(c)" + } + ], + "parts": [ + { + "id": "sa-9_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines processes, methods, and techniques to be employed to monitor security control compliance by external service providers; and\u003c/p\u003e" + ] + }, + { + "id": "sa-9_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(c)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined processes, methods, and techniques to monitor security control compliance by external service providers on an ongoing basis.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp\u003eprocedures addressing methods and techniques for monitoring security control compliance by external service providers of information system services\u003c/p\u003e", + "\u003cp\u003eacquisition contracts, service-level agreements\u003c/p\u003e", + "\u003cp\u003eorganizational security requirements and security specifications for external provider services\u003c/p\u003e", + "\u003cp\u003esecurity control assessment evidence from external providers of information system services\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eexternal providers of information system services\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring security control compliance by external service providers on an ongoing basis\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for monitoring security control compliance by external service providers on an ongoing basis\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sa-9.1", + "class": "SP800-53-enhancement", + "title": "Risk Assessments / Organizational Approvals", + "params": [ + { + "id": "sa-9.1_prm_1", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SA-9 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-9.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-9 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eConducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services; and\u003c/p\u003e" + ] + }, + { + "id": "sa-9.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-9 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eEnsures that the acquisition or outsourcing of dedicated information security services is approved by \u003cinsert param-id=\"sa-9.1_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-6" + }, + { + "rel": "related", + "href": "#ra-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-9.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(1)(a)" + } + ], + "prose": [ + "\u003cp\u003econducts an organizational assessment of risk prior to the acquisition or outsourcing of dedicated information security services;\u003c/p\u003e" + ] + }, + { + "id": "sa-9.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(1)(b)" + } + ], + "parts": [ + { + "id": "sa-9.1_obj_1.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(1)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles designated to approve the acquisition or outsourcing of dedicated information security services; and\u003c/p\u003e" + ] + }, + { + "id": "sa-9.1_obj_1.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(1)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that the acquisition or outsourcing of dedicated information security services is approved by organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003erisk assessment reports\u003c/p\u003e", + "\u003cp\u003eapproval records for acquisition or outsourcing of dedicated information security services\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system security responsibilities\u003c/p\u003e", + "\u003cp\u003eexternal providers of information system services\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated information security services\u003c/p\u003e", + "\u003cp\u003eorganizational processes for approving the outsourcing of dedicated information security services\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing risk assessment\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing approval processes\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-9.2", + "class": "SP800-53-enhancement", + "title": "Identification of Functions / Ports / Protocols / Services", + "params": [ + { + "id": "sa-9.2_prm_1", + "label": "organization-defined external information system services" + } + ], + "props": [ + { + "class": "name", + "value": "SA-9 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires providers of \u003cinsert param-id=\"sa-9.2_prm_1\"/\u003e to identify the functions, ports, protocols, and other services required for the use of such services.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be particularly useful when the need arises to understand the trade-offs involved in restricting certain functions/services or blocking certain ports/protocols.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-9.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines external information system services for which providers of such services are to identify the functions, ports, protocols, and other services required for the use of such services;\u003c/p\u003e" + ] + }, + { + "id": "sa-9.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(2)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires providers of organization-defined external information system services to identify:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-9.2_obj_2.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(2)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ethe functions required for the use of such services;\u003c/p\u003e" + ] + }, + { + "id": "sa-9.2_obj_2.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(2)[2][b]" + } + ], + "prose": [ + "\u003cp\u003ethe ports required for the use of such services;\u003c/p\u003e" + ] + }, + { + "id": "sa-9.2_obj_2.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(2)[2][c]" + } + ], + "prose": [ + "\u003cp\u003ethe protocols required for the use of such services; and\u003c/p\u003e" + ] + }, + { + "id": "sa-9.2_obj_2.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(2)[2][d]" + } + ], + "prose": [ + "\u003cp\u003ethe other services required for the use of such services.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003esolicitation documentation, service-level agreements\u003c/p\u003e", + "\u003cp\u003eorganizational security requirements and security specifications for external service providers\u003c/p\u003e", + "\u003cp\u003elist of required functions, ports, protocols, and other services\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eexternal providers of information system services\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-9.3", + "class": "SP800-53-enhancement", + "title": "Establish / Maintain Trust Relationship with Providers", + "params": [ + { + "id": "sa-9.3_prm_1", + "label": "organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships" + } + ], + "props": [ + { + "class": "name", + "value": "SA-9 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization establishes, documents, and maintains trust relationships with external service providers based on \u003cinsert param-id=\"sa-9.3_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe degree of confidence that the risk from using external services is at an acceptable level depends on the trust that organizations place in the external providers, individually or in combination. Trust relationships can help organization to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered. Such relationships can be complicated due to the number of potential entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and the types of interactions between the parties. In some cases, the degree of trust is based on the amount of direct control organizations are able to exert on external service providers with regard to employment of security controls necessary for the protection of the service/information and the evidence brought forth as to the effectiveness of those controls. The level of control is typically established by the terms and conditions of the contracts or service-level agreements and can range from extensive control (e.g., negotiating contracts or agreements that specify security requirements for the providers) to very limited control (e.g., using contracts or service-level agreements to obtain commodity services such as commercial telecommunications services). In other cases, levels of trust are based on factors that convince organizations that required security controls have been employed and that determinations of control effectiveness exist. For example, separately authorized external information system services provided to organizations through well-established business relationships may provide degrees of trust in such services within the tolerable risk range of the organizations using the services. External service providers may also outsource selected services to other external entities, making the trust relationship more difficult and complicated to manage. Depending on the nature of the services, organizations may find it very difficult to place significant trust in external providers. This is not due to any inherent untrustworthiness on the part of providers, but to the intrinsic level of risk in the services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-9.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines requirements, properties, factors, or conditions defining acceptable trust relationships;\u003c/p\u003e" + ] + }, + { + "id": "sa-9.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ebased on organization-defined requirements, properties, factors, or conditions defining acceptable trust relationships:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-9.3_obj_3.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(3)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eestablishes trust relationships with external service providers;\u003c/p\u003e" + ] + }, + { + "id": "sa-9.3_obj_3.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(3)[2][b]" + } + ], + "prose": [ + "\u003cp\u003edocuments trust relationships with external service providers; and\u003c/p\u003e" + ] + }, + { + "id": "sa-9.3_obj_3.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(3)[2][c]" + } + ], + "prose": [ + "\u003cp\u003emaintains trust relationships with external service providers.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eorganizational security requirements, properties, factors, or conditions defining acceptable trust relationships\u003c/p\u003e", + "\u003cp\u003edocumentation of trust relationships with external service providers\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eexternal providers of information system services\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-9.4", + "class": "SP800-53-enhancement", + "title": "Consistent Interests of Consumers and Providers", + "params": [ + { + "id": "sa-9.4_prm_1", + "label": "organization-defined security safeguards" + }, + { + "id": "sa-9.4_prm_2", + "label": "organization-defined external service providers" + } + ], + "props": [ + { + "class": "name", + "value": "SA-9 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sa-9.4_prm_1\"/\u003e to ensure that the interests of \u003cinsert param-id=\"sa-9.4_prm_2\"/\u003e are consistent with and reflect organizational interests.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAs organizations increasingly use external service providers, the possibility exists that the interests of the service providers may diverge from organizational interests. In such situations, simply having the correct technical, procedural, or operational safeguards in place may not be sufficient if the service providers that implement and control those safeguards are not operating in a manner consistent with the interests of the consuming organizations. Possible actions that organizations might take to address such concerns include, for example, requiring background checks for selected service provider personnel, examining ownership records, employing only trustworthy service providers (i.e., providers with which organizations have had positive experiences), and conducting periodic/unscheduled visits to service provider facilities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-9.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines external service providers whose interests are to be consistent with and reflect organizational interests;\u003c/p\u003e" + ] + }, + { + "id": "sa-9.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(4)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be employed to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests; and\u003c/p\u003e" + ] + }, + { + "id": "sa-9.4_obj_4.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(4)[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined security safeguards to ensure that the interests of organization-defined external service providers are consistent with and reflect organizational interests.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eorganizational security requirements/safeguards for external service providers\u003c/p\u003e", + "\u003cp\u003epersonnel security policies for external service providers\u003c/p\u003e", + "\u003cp\u003eassessments performed on external service providers\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eexternal providers of information system services\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining and employing safeguards to ensure consistent interests with external service providers\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing safeguards to ensure consistent interests with external service providers\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-9.5", + "class": "SP800-53-enhancement", + "title": "Processing, Storage, and Service Location", + "params": [ + { + "id": "sa-9.5_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "information processing" + }, + { + "assignments": null, + "Value": "information/data" + }, + { + "assignments": null, + "Value": "information system services" + } + ] + } + }, + { + "id": "sa-9.5_prm_2", + "label": "organization-defined locations" + }, + { + "id": "sa-9.5_prm_3", + "label": "organization-defined requirements or conditions" + } + ], + "props": [ + { + "class": "name", + "value": "SA-9 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization restricts the location of \u003cinsert param-id=\"sa-9.5_prm_1\"/\u003e to \u003cinsert param-id=\"sa-9.5_prm_2\"/\u003e based on \u003cinsert param-id=\"sa-9.5_prm_3\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe location of information processing, information/data storage, or information system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions/business functions. This situation exists when external providers control the location of processing, storage or services. The criteria external providers use for the selection of processing, storage, or service locations may be different from organizational criteria. For example, organizations may want to ensure that data/information storage locations are restricted to certain locations to facilitate incident response activities (e.g., forensic analyses, after-the-fact investigations) in case of information security breaches/compromises. Such incident response activities may be adversely affected by the governing laws or protocols in the locations where processing and storage occur and/or the locations from which information system services emanate.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-9.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines locations where organization-defined information processing, information/data, and/or information system services are to be restricted;\u003c/p\u003e" + ] + }, + { + "id": "sa-9.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(5)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines requirements or conditions to restrict the location of information processing, information/data, and/or information system services;\u003c/p\u003e" + ] + }, + { + "id": "sa-9.5_obj_5.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(5)[3]" + } + ], + "prose": [ + "\u003cp\u003erestricts the location of one or more of the following to organization-defined locations based on organization-defined requirements or conditions:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-9.5_obj_5.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(5)[3][a]" + } + ], + "prose": [ + "\u003cp\u003einformation processing;\u003c/p\u003e" + ] + }, + { + "id": "sa-9.5_obj_5.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(5)[3][b]" + } + ], + "prose": [ + "\u003cp\u003einformation/data; and/or\u003c/p\u003e" + ] + }, + { + "id": "sa-9.5_obj_5.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-9(5)[3][c]" + } + ], + "prose": [ + "\u003cp\u003einformation services.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing external information system services\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003erestricted locations for information processing\u003c/p\u003e", + "\u003cp\u003einformation/data and/or information system services\u003c/p\u003e", + "\u003cp\u003einformation processing, information/data, and/or information system services to be maintained in restricted locations\u003c/p\u003e", + "\u003cp\u003eorganizational security requirements or conditions for external providers\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eexternal providers of information system services\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining requirements to restrict locations of information processing, information/data, or information services\u003c/p\u003e", + "\u003cp\u003eorganizational processes for ensuring the location is restricted in accordance with requirements or conditions\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sa-10", + "class": "SP800-53", + "title": "Developer Configuration Management", + "params": [ + { + "id": "sa-10_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "design" + }, + { + "assignments": null, + "Value": "development" + }, + { + "assignments": null, + "Value": "implementation" + }, + { + "assignments": null, + "Value": "operation" + } + ] + } + }, + { + "id": "sa-10_prm_2", + "label": "organization-defined configuration items under configuration management" + }, + { + "id": "sa-10_prm_3", + "label": "organization-defined personnel" + } + ], + "props": [ + { + "class": "name", + "value": "SA-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-10_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-10a." + } + ], + "prose": [ + "\u003cp\u003ePerform configuration management during system, component, or service \u003cinsert param-id=\"sa-10_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "sa-10_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-10b." + } + ], + "prose": [ + "\u003cp\u003eDocument, manage, and control the integrity of changes to \u003cinsert param-id=\"sa-10_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "sa-10_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-10c." + } + ], + "prose": [ + "\u003cp\u003eImplement only organization-approved changes to the system, component, or service;\u003c/p\u003e" + ] + }, + { + "id": "sa-10_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-10d." + } + ], + "prose": [ + "\u003cp\u003eDocument approved changes to the system, component, or service and the potential security impacts of such changes; and\u003c/p\u003e" + ] + }, + { + "id": "sa-10_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-10e." + } + ], + "prose": [ + "\u003cp\u003eTrack security flaws and flaw resolution within the system, component, or service and report findings to \u003cinsert param-id=\"sa-10_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control also applies to organizations conducting internal information systems development and integration. Organizations consider the quality and completeness of the configuration management activities conducted by developers as evidence of applying effective security safeguards. Safeguards include, for example, protecting from unauthorized modification or destruction, the master copies of all material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the information system, information system component, or information system service requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. Configuration items that are placed under configuration management (if existence/use is required by other security controls) include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and software/firmware source code with previous versions; and test fixtures and documentation. Depending on the mission/business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the life cycle.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-4" + }, + { + "rel": "related", + "href": "#cm-9" + }, + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#si-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-10_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(a)" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to perform configuration management during one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-10_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(a)[1]" + } + ], + "prose": [ + "\u003cp\u003esystem, component, or service design;\u003c/p\u003e" + ] + }, + { + "id": "sa-10_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(a)[2]" + } + ], + "prose": [ + "\u003cp\u003esystem, component, or service development;\u003c/p\u003e" + ] + }, + { + "id": "sa-10_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(a)[3]" + } + ], + "prose": [ + "\u003cp\u003esystem, component, or service implementation; and/or\u003c/p\u003e" + ] + }, + { + "id": "sa-10_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(a)[4]" + } + ], + "prose": [ + "\u003cp\u003esystem, component, or service operation;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-10_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(b)" + } + ], + "parts": [ + { + "id": "sa-10_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines configuration items to be placed under configuration management;\u003c/p\u003e" + ] + }, + { + "id": "sa-10_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(b)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-10_obj_b.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(b)[2][a]" + } + ], + "prose": [ + "\u003cp\u003edocument the integrity of changes to organization-defined items under configuration management;\u003c/p\u003e" + ] + }, + { + "id": "sa-10_obj_b.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(b)[2][b]" + } + ], + "prose": [ + "\u003cp\u003emanage the integrity of changes to organization-defined items under configuration management;\u003c/p\u003e" + ] + }, + { + "id": "sa-10_obj_b.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(b)[2][c]" + } + ], + "prose": [ + "\u003cp\u003econtrol the integrity of changes to organization-defined items under configuration management;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-10_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(c)" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to implement only organization-approved changes to the system, component, or service;\u003c/p\u003e" + ] + }, + { + "id": "sa-10_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(d)" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to document:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-10_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(d)[1]" + } + ], + "prose": [ + "\u003cp\u003eapproved changes to the system, component, or service;\u003c/p\u003e" + ] + }, + { + "id": "sa-10_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(d)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe potential security impacts of such changes;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-10_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(e)" + } + ], + "parts": [ + { + "id": "sa-10_obj_e.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(e)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel to whom findings, resulting from security flaws and flaw resolution tracked within the system, component, or service, are to be reported;\u003c/p\u003e" + ] + }, + { + "id": "sa-10_obj_e.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(e)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-10_obj_e.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(e)[2][a]" + } + ], + "prose": [ + "\u003cp\u003etrack security flaws within the system, component, or service;\u003c/p\u003e" + ] + }, + { + "id": "sa-10_obj_e.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(e)[2][b]" + } + ], + "prose": [ + "\u003cp\u003etrack security flaw resolution within the system, component, or service; and\u003c/p\u003e" + ] + }, + { + "id": "sa-10_obj_e.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(e)[2][c]" + } + ], + "prose": [ + "\u003cp\u003ereport findings to organization-defined personnel.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp\u003esecurity flaw and flaw resolution tracking records\u003c/p\u003e", + "\u003cp\u003esystem change authorization records\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003econfiguration management records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sa-10.1", + "class": "SP800-53-enhancement", + "title": "Software / Firmware Integrity Verification", + "props": [ + { + "class": "name", + "value": "SA-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement allows organizations to detect unauthorized changes to software and firmware components through the use of tools, techniques, and/or mechanisms provided by developers. Integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system\u003c/p\u003e", + "\u003cp\u003esystem component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp\u003esoftware and firmware integrity verification records\u003c/p\u003e", + "\u003cp\u003esystem change authorization records\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003econfiguration management records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-10.2", + "class": "SP800-53-enhancement", + "title": "Alternative Configuration Management Processes", + "props": [ + { + "class": "name", + "value": "SA-10 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf (COTS) information technology products. Alternate configuration management processes include organizational personnel that: (i) are responsible for reviewing/approving proposed changes to information systems, system components, and information system services; and (ii) conduct security impact analyses prior to the implementation of any changes to systems, components, or services (e.g., a configuration control board that considers security impacts of changes during development and includes representatives of both the organization and the developer, when applicable).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization provides an alternative configuration management process with organizational personnel in the absence of a dedicated developer configuration management team.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp\u003eprocedures addressing configuration management\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system\u003c/p\u003e", + "\u003cp\u003esystem component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-10.3", + "class": "SP800-53-enhancement", + "title": "Hardware Integrity Verification", + "props": [ + { + "class": "name", + "value": "SA-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement allows organizations to detect unauthorized changes to hardware components through the use of tools, techniques, and/or mechanisms provided by developers. Organizations verify the integrity of hardware components, for example, with hard-to-copy labels and verifiable serial numbers provided by developers, and by requiring the implementation of anti-tamper technologies. Delivered hardware components also include updates to such components.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp\u003ehardware integrity verification records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-10.4", + "class": "SP800-53-enhancement", + "title": "Trusted Generation", + "props": [ + { + "class": "name", + "value": "SA-10 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions and software/firmware source and object code with previous versions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses changes to hardware, software, and firmware components between versions during development. In contrast, SA-10 (1) and SA-10 (3) allow organizations to detect unauthorized changes to hardware, software, and firmware components through the use of tools, techniques, and/or mechanisms provided by developers.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-10.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(4)[1]" + } + ], + "prose": [ + "\u003cp\u003esecurity-relevant hardware descriptions with previous versions; and\u003c/p\u003e" + ] + }, + { + "id": "sa-10.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-10(4)[2]" + } + ], + "prose": [ + "\u003cp\u003esoftware/firmware source and object code with previous versions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003econfiguration management records\u003c/p\u003e", + "\u003cp\u003econfiguration control audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-10.5", + "class": "SP800-53-enhancement", + "title": "Mapping Integrity for Version Control", + "props": [ + { + "class": "name", + "value": "SA-10 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses changes to hardware, software, and firmware components during initial development and during system life cycle updates. Maintaining the integrity between the master copies of security-relevant hardware, software, and firmware (including designs and source code) and the equivalent data in master copies on-site in operational environments is essential to ensure the availability of organizational information systems supporting critical missions and/or business functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003econfiguration management records\u003c/p\u003e", + "\u003cp\u003eversion control change/update records\u003c/p\u003e", + "\u003cp\u003eintegrity verification records between master copies of security-relevant hardware, software, and firmware (including designs and source code)\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-10.6", + "class": "SP800-53-enhancement", + "title": "Trusted Distribution", + "props": [ + { + "class": "name", + "value": "SA-10 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe trusted distribution of security-relevant hardware, software, and firmware updates helps to ensure that such updates are faithful representations of the master copies maintained by the developer and have not been tampered with during distribution.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer configuration management\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system\u003c/p\u003e", + "\u003cp\u003esystem component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer configuration management plan\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003econfiguration management records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer configuration management\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer configuration management\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sa-11", + "class": "SP800-53", + "title": "Developer Security Testing and Evaluation", + "params": [ + { + "id": "sa-11_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "unit" + }, + { + "assignments": null, + "Value": "integration" + }, + { + "assignments": null, + "Value": "system" + }, + { + "assignments": null, + "Value": "regression" + } + ] + } + }, + { + "id": "sa-11_prm_2", + "label": "organization-defined depth and coverage" + } + ], + "props": [ + { + "class": "name", + "value": "SA-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-11_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-11a." + } + ], + "prose": [ + "\u003cp\u003eCreate and implement a security assessment plan;\u003c/p\u003e" + ] + }, + { + "id": "sa-11_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-11b." + } + ], + "prose": [ + "\u003cp\u003ePerform \u003cinsert param-id=\"sa-11_prm_1\"/\u003e testing/evaluation at \u003cinsert param-id=\"sa-11_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "sa-11_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-11c." + } + ], + "prose": [ + "\u003cp\u003eProduce evidence of the execution of the security assessment plan and the results of the security testing/evaluation;\u003c/p\u003e" + ] + }, + { + "id": "sa-11_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-11d." + } + ], + "prose": [ + "\u003cp\u003eImplement a verifiable flaw remediation process; and\u003c/p\u003e" + ] + }, + { + "id": "sa-11_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-11e." + } + ], + "prose": [ + "\u003cp\u003eCorrect flaws identified during security testing/evaluation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopmental security testing/evaluation occurs at all post-design phases of the system development life cycle. Such testing/evaluation confirms that the required security controls are implemented correctly, operating as intended, enforcing the desired security policy, and meeting established security requirements. Security properties of information systems may be affected by the interconnection of system components or changes to those components. These interconnections or changes (e.g., upgrading or replacing applications and operating systems) may adversely affect previously implemented security controls. This control provides additional types of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of security testing/evaluation refers to the rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security assessment plans, flaw remediation processes, and the evidence that the plans/processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-2" + }, + { + "rel": "related", + "href": "#cm-4" + }, + { + "rel": "related", + "href": "#sa-3" + }, + { + "rel": "related", + "href": "#sa-4" + }, + { + "rel": "related", + "href": "#sa-5" + }, + { + "rel": "related", + "href": "#si-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-11_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(a)" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to create and implement a security plan;\u003c/p\u003e" + ] + }, + { + "id": "sa-11_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(b)" + } + ], + "parts": [ + { + "id": "sa-11_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the depth of testing/evaluation to be performed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ] + }, + { + "id": "sa-11_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the coverage of testing/evaluation to be performed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ] + }, + { + "id": "sa-11_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(b)[3]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to perform one or more of the following testing/evaluation at the organization-defined depth and coverage:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-11_obj_b.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(b)[3][a]" + } + ], + "prose": [ + "\u003cp\u003eunit testing/evaluation;\u003c/p\u003e" + ] + }, + { + "id": "sa-11_obj_b.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(b)[3][b]" + } + ], + "prose": [ + "\u003cp\u003eintegration testing/evaluation;\u003c/p\u003e" + ] + }, + { + "id": "sa-11_obj_b.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(b)[3][c]" + } + ], + "prose": [ + "\u003cp\u003esystem testing/evaluation; and/or\u003c/p\u003e" + ] + }, + { + "id": "sa-11_obj_b.3.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(b)[3][d]" + } + ], + "prose": [ + "\u003cp\u003eregression testing/evaluation;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-11_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(c)" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to produce evidence of:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-11_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(c)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe execution of the security assessment plan;\u003c/p\u003e" + ] + }, + { + "id": "sa-11_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(c)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe results of the security testing/evaluation;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-11_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(d)" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to implement a verifiable flaw remediation process; and\u003c/p\u003e" + ] + }, + { + "id": "sa-11_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(e)" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to correct flaws identified during security testing/evaluation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer security test plans\u003c/p\u003e", + "\u003cp\u003erecords of developer security testing results for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esecurity flaw and remediation tracking records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sa-11.1", + "class": "SP800-53-enhancement", + "title": "Static Code Analysis", + "props": [ + { + "class": "name", + "value": "SA-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eStatic code analysis provides a technology and methodology for security reviews. Such analysis can be used to identify security vulnerabilities and enforce security coding practices. Static code analysis is most effective when used early in the development process, when each code change can be automatically scanned for potential weaknesses. Static analysis can provide clear remediation guidance along with defects to enable developers to fix such defects. Evidence of correct implementation of static analysis can include, for example, aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were fixed. An excessively high density of ignored findings (commonly referred to as ignored or false positives) indicates a potential problem with the analysis process or tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer security test plans\u003c/p\u003e", + "\u003cp\u003esystem developer security testing results\u003c/p\u003e", + "\u003cp\u003esecurity flaw and remediation tracking records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e", + "\u003cp\u003estatic code analysis tools\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-11.2", + "class": "SP800-53-enhancement", + "title": "Threat and Vulnerability Analyses", + "props": [ + { + "class": "name", + "value": "SA-11 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to perform threat and vulnerability analyses and subsequent testing/evaluation of the as-built system, component, or service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eApplications may deviate significantly from the functional and design specifications created during the requirements and design phases of the system development life cycle. Therefore, threat and vulnerability analyses of information systems, system components, and information system services prior to delivery are critical to the effective operation of those systems, components, and services. Threat and vulnerability analyses at this phase of the life cycle help to ensure that design or implementation changes have been accounted for, and that any new vulnerabilities created as a result of those changes have been reviewed and mitigated.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-15" + }, + { + "rel": "related", + "href": "#ra-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to perform:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-11.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethreat analyses of the as-built, system component, or service;\u003c/p\u003e" + ] + }, + { + "id": "sa-11.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(2)[2]" + } + ], + "prose": [ + "\u003cp\u003evulnerability analyses of the as-built, system component, or service; and\u003c/p\u003e" + ] + }, + { + "id": "sa-11.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(2)[3]" + } + ], + "prose": [ + "\u003cp\u003esubsequent testing/evaluation of the as-built, system component, or service.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer security test plans\u003c/p\u003e", + "\u003cp\u003erecords of developer security testing results for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003evulnerability scanning results\u003c/p\u003e", + "\u003cp\u003einformation system risk assessment reports\u003c/p\u003e", + "\u003cp\u003ethreat and vulnerability analysis reports\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-11.3", + "class": "SP800-53-enhancement", + "title": "Independent Verification of Assessment Plans / Evidence", + "params": [ + { + "id": "sa-11.3_prm_1", + "label": "organization-defined independence criteria" + } + ], + "props": [ + { + "class": "name", + "value": "SA-11 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-11.3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-11 (3)(a)" + } + ], + "prose": [ + "\u003cp\u003eRequires an independent agent satisfying \u003cinsert param-id=\"sa-11.3_prm_1\"/\u003e to verify the correct implementation of the developer security assessment plan and the evidence produced during security testing/evaluation; and\u003c/p\u003e" + ] + }, + { + "id": "sa-11.3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-11 (3)(b)" + } + ], + "prose": [ + "\u003cp\u003eEnsures that the independent agent is either provided with sufficient information to complete the verification process or granted the authority to obtain such information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndependent agents have the necessary qualifications (i.e., expertise, skills, training, and experience) to verify the correct implementation of developer security assessment plans.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#ra-5" + }, + { + "rel": "related", + "href": "#sa-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-11.3_obj_3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)" + } + ], + "parts": [ + { + "id": "sa-11.3_obj_3.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines independence criteria that an independent agent is required to satisfy;\u003c/p\u003e" + ] + }, + { + "id": "sa-11.3_obj_3.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires an independent agent satisfying organization-defined independence criteria to verify:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-11.3_obj_3.a.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ethe correct implementation of the developer security assessment plan;\u003c/p\u003e" + ] + }, + { + "id": "sa-11.3_obj_3.a.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(3)(a)[2][b]" + } + ], + "prose": [ + "\u003cp\u003ethe evidence produced during security testing/evaluation;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-11.3_obj_3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(3)(b)" + } + ], + "prose": [ + "\u003cp\u003eensures that the independent agent is either:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-11.3_obj_3.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(3)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003eprovided with sufficient information to complete the verification process; or\u003c/p\u003e" + ] + }, + { + "id": "sa-11.3_obj_3.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(3)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003egranted the authority to obtain such information.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003eindependent verification and validation reports\u003c/p\u003e", + "\u003cp\u003esecurity test and evaluation plans\u003c/p\u003e", + "\u003cp\u003esecurity test and evaluation results for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eindependent verification agent\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-11.4", + "class": "SP800-53-enhancement", + "title": "Manual Code Reviews", + "params": [ + { + "id": "sa-11.4_prm_1", + "label": "organization-defined specific code" + }, + { + "id": "sa-11.4_prm_2", + "label": "organization-defined processes, procedures, and/or techniques" + } + ], + "props": [ + { + "class": "name", + "value": "SA-11 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to perform a manual code review of \u003cinsert param-id=\"sa-11.4_prm_1\"/\u003e using \u003cinsert param-id=\"sa-11.4_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eManual code reviews are usually reserved for the critical software and firmware components of information systems. Such code reviews are uniquely effective at identifying weaknesses that require knowledge of the application’s requirements or context which are generally unavailable to more automated analytic tools and techniques such as static or dynamic analysis. Components benefiting from manual review include for example, verifying access control matrices against application controls and reviewing more detailed aspects of cryptographic implementations and controls.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-11.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines specific code for which the developer of the information system, system component, or information system service is required to perform a manual code review;\u003c/p\u003e" + ] + }, + { + "id": "sa-11.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(4)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines processes, procedures, and/or techniques to be used when the developer performs a manual code review of organization-defined specific code; and\u003c/p\u003e" + ] + }, + { + "id": "sa-11.4_obj_4.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(4)[3]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to perform a manual code review of organization-defined specific code using organization-defined processes, procedures, and/or techniques.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp\u003eprocesses, procedures, and/or techniques for performing manual code reviews\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer security testing and evaluation plans\u003c/p\u003e", + "\u003cp\u003esystem developer security testing and evaluation results\u003c/p\u003e", + "\u003cp\u003elist of code requiring manual reviews\u003c/p\u003e", + "\u003cp\u003erecords of manual code reviews\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eindependent verification agent\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-11.5", + "class": "SP800-53-enhancement", + "title": "Penetration Testing", + "params": [ + { + "id": "sa-11.5_prm_1", + "label": "organization-defined breadth/depth" + }, + { + "id": "sa-11.5_prm_2", + "label": "organization-defined constraints" + } + ], + "props": [ + { + "class": "name", + "value": "SA-11 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to perform penetration testing at \u003cinsert param-id=\"sa-11.5_prm_1\"/\u003e and with \u003cinsert param-id=\"sa-11.5_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePenetration testing is an assessment methodology in which assessors, using all available information technology product and/or information system documentation (e.g., product/system design specifications, source code, and administrator/operator manuals) and working under specific constraints, attempt to circumvent implemented security features of information technology products and information systems. Penetration testing can include, for example, white, gray, or black box testing with analyses performed by skilled security professionals simulating adversary actions. The objective of penetration testing is to uncover potential vulnerabilities in information technology products and information systems resulting from implementation errors, configuration faults, or other operational deployment weaknesses or deficiencies. Penetration tests can be performed in conjunction with automated and manual code reviews to provide greater levels of analysis than would ordinarily be possible.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-11.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines for the developer of the information system, system component, or information system service:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-11.5_obj_5.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(5)[1][a]" + } + ], + "prose": [ + "\u003cp\u003ethe breadth of penetration testing to be performed by the developer;\u003c/p\u003e" + ] + }, + { + "id": "sa-11.5_obj_5.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(5)[1][b]" + } + ], + "prose": [ + "\u003cp\u003ethe depth of penetration testing to be performed by the developer;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-11.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(5)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines constraints under which the developer is to perform penetration testing; and\u003c/p\u003e" + ] + }, + { + "id": "sa-11.5_obj_5.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(5)[3]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to perform penetration testing at organization-defined breadth/depth and with organization-defined constraints.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer penetration testing and evaluation plans\u003c/p\u003e", + "\u003cp\u003esystem developer penetration testing and evaluation results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eindependent verification agent\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-11.6", + "class": "SP800-53-enhancement", + "title": "Attack Surface Reviews", + "props": [ + { + "class": "name", + "value": "SA-11 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAttack surfaces of information systems are exposed areas that make those systems more vulnerable to cyber attacks. This includes any accessible areas where weaknesses or deficiencies in information systems (including the hardware, software, and firmware components) provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers: (i) analyze both design and implementation changes to information systems; and (ii) mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes, for example, deprecation of unsafe functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer security testing and evaluation plans\u003c/p\u003e", + "\u003cp\u003esystem developer security testing and evaluation results\u003c/p\u003e", + "\u003cp\u003erecords of attack surface reviews\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-11.7", + "class": "SP800-53-enhancement", + "title": "Verify Scope of Testing / Evaluation", + "params": [ + { + "id": "sa-11.7_prm_1", + "label": "organization-defined depth of testing/evaluation" + } + ], + "props": [ + { + "class": "name", + "value": "SA-11 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at \u003cinsert param-id=\"sa-11.7_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eVerifying that security testing/evaluation provides complete coverage of required security controls can be accomplished by a variety of analytic techniques ranging from informal to formal. Each of these techniques provides an increasing level of assurance corresponding to the degree of formality of the analysis. Rigorously demonstrating security control coverage at the highest levels of assurance can be provided by the use of formal modeling and analysis techniques including correlation between control implementation and corresponding test cases.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-11.7_obj_7.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(7)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the depth of testing/evaluation to ensure the scope of security/testing evaluation provides complete coverage of required security controls; and\u003c/p\u003e" + ] + }, + { + "id": "sa-11.7_obj_7.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-11(7)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at the organization-defined depth of testing/evaluation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer security testing and evaluation plans\u003c/p\u003e", + "\u003cp\u003esystem developer security testing and evaluation results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eindependent verification agent\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-11.8", + "class": "SP800-53-enhancement", + "title": "Dynamic Code Analysis", + "props": [ + { + "class": "name", + "value": "SA-11 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to help to ensure that security functionality performs in the manner in which it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing system developer security testing\u003c/p\u003e", + "\u003cp\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer security test and evaluation plans\u003c/p\u003e", + "\u003cp\u003esecurity test and evaluation results\u003c/p\u003e", + "\u003cp\u003esecurity flaw and remediation tracking reports\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with developer security testing responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with configuration management responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for monitoring developer security testing and evaluation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sa-12", + "class": "SP800-53", + "title": "Supply Chain Protection", + "params": [ + { + "id": "sa-12_prm_1", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SA-12" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization protects against supply chain threats to the information system, system component, or information system service by employing \u003cinsert param-id=\"sa-12_prm_1\"/\u003e as part of a comprehensive, defense-in-breadth information security strategy.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems (including system components that compose those systems) need to be protected throughout the system development life cycle (i.e., during design, development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). Protection of organizational information systems is accomplished through threat awareness, by the identification, management, and reduction of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to respond to risk. Organizations consider implementing a standardized process to address supply chain risk with respect to information systems and system components, and to educate the acquisition workforce on threats, risk, and required security controls. Organizations use the acquisition/procurement processes to require supply chain entities to implement necessary security safeguards to: (i) reduce the likelihood of unauthorized modifications at each stage in the supply chain; and (ii) protect information systems and information system components, prior to taking delivery of such systems/components. This control also applies to information system services. Security safeguards include, for example: (i) security controls for development systems, development facilities, and external connections to development systems; (ii) vetting development personnel; and (iii) use of tamper-evident packaging during shipping/warehousing. Methods for reviewing and protecting development plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#cm-8" + }, + { + "rel": "related", + "href": "#ir-4" + }, + { + "rel": "related", + "href": "#pe-16" + }, + { + "rel": "related", + "href": "#pl-8" + }, + { + "rel": "related", + "href": "#sa-3" + }, + { + "rel": "related", + "href": "#sa-4" + }, + { + "rel": "related", + "href": "#sa-8" + }, + { + "rel": "related", + "href": "#sa-10" + }, + { + "rel": "related", + "href": "#sa-14" + }, + { + "rel": "related", + "href": "#sa-15" + }, + { + "rel": "related", + "href": "#sa-18" + }, + { + "rel": "related", + "href": "#sa-19" + }, + { + "rel": "related", + "href": "#sc-29" + }, + { + "rel": "related", + "href": "#sc-30" + }, + { + "rel": "related", + "href": "#sc-38" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be employed to protect against supply chain threats to the information system, system component, or information system service; and\u003c/p\u003e" + ] + }, + { + "id": "sa-12_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12[2]" + } + ], + "prose": [ + "\u003cp\u003eprotects against supply chain threats to the information system, system component, or information system service by employing organization-defined security safeguards as part of a comprehensive, defense-in-breadth information security strategy.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003elist of supply chain threats\u003c/p\u003e", + "\u003cp\u003elist of security safeguards to be taken against supply chain threats\u003c/p\u003e", + "\u003cp\u003esystem development life cycle documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining safeguards for and protecting against supply chain threats\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing safeguards for supply chain threats\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sa-12.1", + "class": "SP800-53-enhancement", + "title": "Acquisition Strategies / Tools / Methods", + "params": [ + { + "id": "sa-12.1_prm_1", + "label": "organization-defined tailored acquisition strategies, contract tools, and procurement methods" + } + ], + "props": [ + { + "class": "name", + "value": "SA-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sa-12.1_prm_1\"/\u003e for the purchase of the information system, system component, or information system service from suppliers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of acquisition and procurement processes by organizations early in the system development life cycle provides an important vehicle to protect the supply chain. Organizations use available all-source intelligence analysis to inform the tailoring of acquisition strategies, tools, and methods. There are a number of different tools and techniques available (e.g., obscuring the end use of an information system or system component, using blind or filtered buys). Organizations also consider creating incentives for suppliers who: (i) implement required security safeguards; (ii) promote transparency into their organizational processes and security practices; (iii) provide additional vetting of the processes and security practices of subordinate suppliers, critical information system components, and services; (iv) restrict purchases from specific suppliers or countries; and (v) provide contract language regarding the prohibition of tainted or counterfeit components. In addition, organizations consider minimizing the time between purchase decisions and required delivery to limit opportunities for adversaries to corrupt information system components or products. Finally, organizations can use trusted/controlled distribution, delivery, and warehousing options to reduce supply chain risk (e.g., requiring tamper-evident packaging of information system components during shipping and warehousing).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the following to be employed for the purchase of the information system, system component, or information system service from suppliers:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12.1_obj_1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003etailored acquisition strategies;\u003c/p\u003e" + ] + }, + { + "id": "sa-12.1_obj_1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003econtract tools;\u003c/p\u003e" + ] + }, + { + "id": "sa-12.1_obj_1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eprocurement methods; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-12.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined tailored acquisition strategies, contract tools, and procurement methods for the purchase of the information system, system component, or information system service from suppliers.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of acquisition strategies, contract tools, and procure methods into the acquisition process\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for information systems or services\u003c/p\u003e", + "\u003cp\u003epurchase orders/requisitions for the information system\u003c/p\u003e", + "\u003cp\u003esystem component\u003c/p\u003e", + "\u003cp\u003eor information system service from suppliers\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining and employing tailored acquisition strategies, contract tools, and procurement methods\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the definition and employment of tailored acquisition strategies, contract tools, and procurement methods\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-12.2", + "class": "SP800-53-enhancement", + "title": "Supplier Reviews", + "props": [ + { + "class": "name", + "value": "SA-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupplier reviews include, for example: (i) analysis of supplier processes used to design, develop, test, implement, verify, deliver, and support information systems, system components, and information system services; and (ii) assessment of supplier training and experience in developing systems, components, or services with the required security capability. These reviews provide organizations with increased levels of visibility into supplier activities during the system development life cycle to promote more effective supply chain risk management. Supplier reviews can also help to determine whether primary suppliers have security safeguards in place and a practice for vetting subordinate suppliers, for example, second- and third-tier suppliers, and any subcontractors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp\u003erecords of supplier due diligence reviews\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for conducting supplier reviews\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing supplier reviews\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-12.3", + "class": "SP800-53-enhancement", + "title": "Trusted Shipping and Warehousing", + "links": [ + { + "rel": "related", + "href": "#sa-12.1" + } + ], + "props": [ + { + "class": "name", + "value": "SA-12 (3)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SA-12 (1)\u003c/i\u003e \u003ci\u003eIncorporated into SA-12 (1)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-12.4", + "class": "SP800-53-enhancement", + "title": "Diversity of Suppliers", + "links": [ + { + "rel": "related", + "href": "#sa-12.13" + } + ], + "props": [ + { + "class": "name", + "value": "SA-12 (4)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SA-12 (13)\u003c/i\u003e \u003ci\u003eIncorporated into SA-12 (13)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-12.5", + "class": "SP800-53-enhancement", + "title": "Limitation of Harm", + "params": [ + { + "id": "sa-12.5_prm_1", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SA-12 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sa-12.5_prm_1\"/\u003e to limit harm from potential adversaries identifying and targeting the organizational supply chain.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupply chain risk is part of the advanced persistent threat (APT). Security safeguards and countermeasures to reduce the probability of adversaries successfully identifying and targeting the supply chain include, for example: (i) avoiding the purchase of custom configurations to reduce the risk of acquiring information systems, components, or products that have been corrupted via supply chain actions targeted at specific organizations; (ii) employing a diverse set of suppliers to limit the potential harm from any given supplier in the supply chain; (iii) employing approved vendor lists with standing reputations in industry, and (iv) using procurement carve outs (i.e., exclusions to commitments or obligations).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be employed to limit harm from potential adversaries identifying and targeting the organizational supply chain; and\u003c/p\u003e" + ] + }, + { + "id": "sa-12.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(5)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined security safeguards to limit harm from potential adversaries identifying and targeting the organizational supply chain.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003econfiguration management policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the baseline configuration of the information system\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture and associated configuration documentation\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003elist of security safeguards to be taken to protect organizational supply chain against potential supply chain threats\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining and employing safeguards to limit harm from adversaries of the organizational supply chain\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the definition and employment of safeguards to protect the organizational supply chain\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-12.6", + "class": "SP800-53-enhancement", + "title": "Minimizing Procurement Time", + "links": [ + { + "rel": "related", + "href": "#sa-12.1" + } + ], + "props": [ + { + "class": "name", + "value": "SA-12 (6)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SA-12 (1)\u003c/i\u003e \u003ci\u003eIncorporated into SA-12 (1)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-12.7", + "class": "SP800-53-enhancement", + "title": "Assessments Prior to Selection / Acceptance / Update", + "props": [ + { + "class": "name", + "value": "SA-12 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization conducts an assessment of the information system, system component, or information system service prior to selection, acceptance, or update.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAssessments include, for example, testing, evaluations, reviews, and analyses. Independent, third-party entities or organizational personnel conduct assessments of systems, components, products, tools, and services. Organizations conduct assessments to uncover unintentional vulnerabilities and intentional vulnerabilities including, for example, malicious code, malicious processes, defective software, and counterfeits. Assessments can include, for example, static analyses, dynamic analyses, simulations, white, gray, and black box testing, fuzz testing, penetration testing, and ensuring that components or services are genuine (e.g., using tags, cryptographic hash verifications, or digital signatures). Evidence generated during security assessments is documented for follow-on actions carried out by organizations.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-2" + }, + { + "rel": "related", + "href": "#sa-11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization conducts an assessment of the information system, system component, or information system service prior to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12.7_obj_7.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(7)[1]" + } + ], + "prose": [ + "\u003cp\u003eselection;\u003c/p\u003e" + ] + }, + { + "id": "sa-12.7_obj_7.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(7)[2]" + } + ], + "prose": [ + "\u003cp\u003eacceptance; or\u003c/p\u003e" + ] + }, + { + "id": "sa-12.7_obj_7.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(7)[3]" + } + ], + "prose": [ + "\u003cp\u003eupdate.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp\u003esecurity test and evaluation results\u003c/p\u003e", + "\u003cp\u003evulnerability assessment results\u003c/p\u003e", + "\u003cp\u003epenetration testing results\u003c/p\u003e", + "\u003cp\u003eorganizational risk assessment results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for conducting assessments prior to selection, acceptance, or update\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the conducting of assessments prior to selection, acceptance, or update\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-12.8", + "class": "SP800-53-enhancement", + "title": "Use of All-source Intelligence", + "props": [ + { + "class": "name", + "value": "SA-12 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization uses all-source intelligence analysis of suppliers and potential suppliers of the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAll-source intelligence analysis is employed by organizations to inform engineering, acquisition, and risk management decisions. All-source intelligence consists of intelligence products and/or organizations and activities that incorporate all sources of information, most frequently including human intelligence, imagery intelligence, measurement and signature intelligence, signals intelligence, and open source data in the production of finished intelligence. Where available, such information is used to analyze the risk of both intentional and unintentional vulnerabilities from development, manufacturing, and delivery processes, people, and the environment. This review is performed on suppliers at multiple tiers in the supply chain sufficient to manage risks.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization uses all-source intelligence analysis of:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12.8_obj_8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(8)[1]" + } + ], + "prose": [ + "\u003cp\u003esuppliers of the information system, system component, or information system service; and\u003c/p\u003e" + ] + }, + { + "id": "sa-12.8_obj_8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(8)[2]" + } + ], + "prose": [ + "\u003cp\u003epotential suppliers of the information system, system component, or information system service.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003erecords of all-source intelligence analyses\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for use of an all-source analysis of suppliers and potential suppliers\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the use of all-source analysis of suppliers and potential suppliers\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-12.9", + "class": "SP800-53-enhancement", + "title": "Operations Security", + "params": [ + { + "id": "sa-12.9_prm_1", + "label": "organization-defined Operations Security (OPSEC) safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SA-12 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sa-12.9_prm_1\"/\u003e in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupply chain information includes, for example: user identities; uses for information systems, information system components, and information system services; supplier identities; supplier processes; security requirements; design specifications; testing and evaluation results; and system/component configurations. This control enhancement expands the scope of OPSEC to include suppliers and potential suppliers. OPSEC is a process of identifying critical information and subsequently analyzing friendly actions attendant to operations and other activities to: (i) identify those actions that can be observed by potential adversaries; (ii) determine indicators that adversaries might obtain that could be interpreted or pieced together to derive critical information in sufficient time to cause harm to organizations; (iii) implement safeguards or countermeasures to eliminate or reduce to an acceptable level, exploitable vulnerabilities; and (iv) consider how aggregated information may compromise the confidentiality of users or uses of the supply chain. OPSEC may require organizations to withhold critical mission/business information from suppliers and may include the use of intermediaries to hide the end use, or users, of information systems, system components, or information system services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12.9_obj_9.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(9)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines Operations Security (OPSEC) safeguards to be employed in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service; and\u003c/p\u003e" + ] + }, + { + "id": "sa-12.9_obj_9.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(9)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined OPSEC safeguards in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003erecords of all-source intelligence analyses\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining and employing OPSEC safeguards\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the definition and employment of OPSEC safeguards\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-12.10", + "class": "SP800-53-enhancement", + "title": "Validate as Genuine and Not Altered", + "params": [ + { + "id": "sa-12.10_prm_1", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SA-12 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sa-12.10_prm_1\"/\u003e to validate that the information system or system component received is genuine and has not been altered.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor some information system components, especially hardware, there are technical means to help determine if the components are genuine or have been altered. Security safeguards used to validate the authenticity of information systems and information system components include, for example, optical/nanotechnology tagging and side-channel analysis. For hardware, detailed bill of material information can highlight the elements with embedded logic complete with component and production location.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12.10_obj_10.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(10)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be employed to validate that the information system or system component received is genuine and has not been altered; and\u003c/p\u003e" + ] + }, + { + "id": "sa-12.10_obj_10.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(10)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined security safeguards to validate that the information system or system components received is genuine and has not been altered.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp\u003eprocedures address the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003eevidentiary documentation (including applicable configurations) indicating the information system, system component, or information system service are genuine and have not been altered\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining and employing validation safeguards\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the definition and employment of validation safeguards\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-12.11", + "class": "SP800-53-enhancement", + "title": "Penetration Testing / Analysis of Elements, Processes, and Actors", + "params": [ + { + "id": "sa-12.11_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "organizational analysis, independent third-party analysis, organizational penetration testing, independent third-party penetration testing" + } + ] + } + }, + { + "id": "sa-12.11_prm_2", + "label": "organization-defined supply chain elements, processes, and actors" + } + ], + "props": [ + { + "class": "name", + "value": "SA-12 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sa-12.11_prm_1\"/\u003e of \u003cinsert param-id=\"sa-12.11_prm_2\"/\u003e associated with the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses analysis and/or testing of the supply chain, not just delivered items. Supply chain elements are information technology products or product components that contain programmable logic and that are critically important to information system functions. Supply chain processes include, for example: (i) hardware, software, and firmware development processes; (ii) shipping/handling procedures; (iii) personnel and physical security programs; (iv) configuration management tools/measures to maintain provenance; or (v) any other programs, processes, or procedures associated with the production/distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ra-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12.11_obj_11.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(11)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines supply chain:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12.11_obj_11.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(11)[1][a]" + } + ], + "prose": [ + "\u003cp\u003eelements to be analyzed and/or tested;\u003c/p\u003e" + ] + }, + { + "id": "sa-12.11_obj_11.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(11)[1][b]" + } + ], + "prose": [ + "\u003cp\u003eprocesses to be analyzed and/or tested;\u003c/p\u003e" + ] + }, + { + "id": "sa-12.11_obj_11.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(11)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eactors to be analyzed and/or tested;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-12.11_obj_11.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(11)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys one or more of the following to analyze and/or test organization-defined supply chain elements, processes, and actors associated with the information system, system component, or information system service:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12.11_obj_11.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(11)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eorganizational analysis;\u003c/p\u003e" + ] + }, + { + "id": "sa-12.11_obj_11.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(11)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eindependent third party analysis;\u003c/p\u003e" + ] + }, + { + "id": "sa-12.11_obj_11.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(11)[2][c]" + } + ], + "prose": [ + "\u003cp\u003eorganizational penetration testing; and/or\u003c/p\u003e" + ] + }, + { + "id": "sa-12.11_obj_11.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(11)[2][d]" + } + ], + "prose": [ + "\u003cp\u003eindependent third-party penetration testing.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp\u003eevidence of organizational analysis, independent third-party analysis, organizational penetration testing, and/or independent third-party penetration testing\u003c/p\u003e", + "\u003cp\u003elist of supply chain elements, processes, and actors (associated with the information system, system component, or information system service) subject to analysis and/or testing\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for analyzing and/or testing supply chain elements, processes, and actors\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining and employing methods of analysis/testing of supply chain elements, processes, and actors\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the analysis/testing of supply chain elements, processes, and actors\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-12.12", + "class": "SP800-53-enhancement", + "title": "Inter-organizational Agreements", + "props": [ + { + "class": "name", + "value": "SA-12 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization establishes inter-organizational agreements and procedures with entities involved in the supply chain for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe establishment of inter-organizational agreements and procedures provides for notification of supply chain compromises. Early notification of supply chain compromises that can potentially adversely affect or have adversely affected organizational information systems, including critical system components, is essential for organizations to provide appropriate responses to such incidents.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization establishes, with entities involved in the supply chain for the information system, system component, or information system service,:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12.12_obj_12.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(12)[1]" + } + ], + "prose": [ + "\u003cp\u003einter-organizational agreements; and\u003c/p\u003e" + ] + }, + { + "id": "sa-12.12_obj_12.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(12)[2]" + } + ], + "prose": [ + "\u003cp\u003einter-organizational procedures.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003einter-organizational agreements and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for establishing inter-organizational agreements and procedures with supply chain entities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-12.13", + "class": "SP800-53-enhancement", + "title": "Critical Information System Components", + "params": [ + { + "id": "sa-12.13_prm_1", + "label": "organization-defined security safeguards" + }, + { + "id": "sa-12.13_prm_2", + "label": "organization-defined critical information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SA-12 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sa-12.13_prm_1\"/\u003e to ensure an adequate supply of \u003cinsert param-id=\"sa-12.13_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAdversaries can attempt to impede organizational operations by disrupting the supply of critical information system components or corrupting supplier operations. Safeguards to ensure adequate supplies of critical information system components include, for example: (i) the use of multiple suppliers throughout the supply chain for the identified critical components; and (ii) stockpiling of spare components to ensure operation during mission-critical times.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12.13_obj_13.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(13)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines critical information system components for which security safeguards are to be employed to ensure an adequate supply of such components;\u003c/p\u003e" + ] + }, + { + "id": "sa-12.13_obj_13.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(13)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be employed to ensure an adequate supply of organization-defined critical information components; and\u003c/p\u003e" + ] + }, + { + "id": "sa-12.13_obj_13.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(13)[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined security safeguards to ensure an adequate supply of organization-defined critical information system components.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp\u003ephysical inventory of critical information system components\u003c/p\u003e", + "\u003cp\u003einventory records of critical information system components\u003c/p\u003e", + "\u003cp\u003elist of security safeguards ensuring adequate supply of critical information system components\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining and employing security safeguards to ensure an adequate supply of critical information system components\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the security safeguards that ensure an adequate supply of critical information system components\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-12.14", + "class": "SP800-53-enhancement", + "title": "Identity and Traceability", + "params": [ + { + "id": "sa-12.14_prm_1", + "label": "organization-defined supply chain elements, processes, and actors" + } + ], + "props": [ + { + "class": "name", + "value": "SA-12 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization establishes and retains unique identification of \u003cinsert param-id=\"sa-12.14_prm_1\"/\u003e for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eKnowing who and what is in the supply chains of organizations is critical to gaining visibility into what is happening within such supply chains, as well as monitoring and identifying high-risk events and activities. Without reasonable visibility and traceability into supply chains (i.e., elements, processes, and actors), it is very difficult for organizations to understand and therefore manage risk, and to reduce the likelihood of adverse events. Uniquely identifying acquirer and integrator roles, organizations, personnel, mission and element processes, testing and evaluation procedures, delivery mechanisms, support mechanisms, communications/delivery paths, and disposal/final disposition activities as well as the components and tools used, establishes a foundational identity structure for assessment of supply chain activities. For example, labeling (using serial numbers) and tagging (using radio-frequency identification [RFID] tags) individual supply chain elements including software packages, modules, and hardware devices, and processes associated with those elements can be used for this purpose. Identification methods are sufficient to support the provenance in the event of a supply chain issue or adverse supply chain event.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12.14_obj_14.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(14)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the following for the establishment and retention of unique identification:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-12.14_obj_14.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(14)[1][a]" + } + ], + "prose": [ + "\u003cp\u003esupply chain elements;\u003c/p\u003e" + ] + }, + { + "id": "sa-12.14_obj_14.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(14)[1][b]" + } + ], + "prose": [ + "\u003cp\u003esupply chain processes;\u003c/p\u003e" + ] + }, + { + "id": "sa-12.14_obj_14.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(14)[1][c]" + } + ], + "prose": [ + "\u003cp\u003esupply chain actors; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-12.14_obj_14.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-12(14)[2]" + } + ], + "prose": [ + "\u003cp\u003eestablishes and retains unique identification of organization-defined supply chain elements, processes, and actors for the information system, system component, or information system service.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of information security requirements into the acquisition process\u003c/p\u003e", + "\u003cp\u003elist of supply chain elements, processes, and actors (associated with the information system, system component, or information system service) requiring implementation of unique identification processes, procedures, tools, mechanisms, equipment, techniques and/or configurations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for establishing and retaining unique identification of supply chain elements, processes, and actors\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining, establishing, and retaining unique identification for supply chain elements, processes, and actors\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the definition, establishment, and retention of unique identification for supply chain elements, processes, and actors\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-12.15", + "class": "SP800-53-enhancement", + "title": "Processes to Address Weaknesses or Deficiencies", + "props": [ + { + "class": "name", + "value": "SA-12 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEvidence generated during independent or organizational assessments of supply chain elements (e.g., penetration testing, audits, verification/validation activities) is documented and used in follow-on processes implemented by organizations to respond to the risks related to the identified weaknesses and deficiencies. Supply chain elements include, for example, supplier development processes and supplier distribution systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing supply chain protection\u003c/p\u003e", + "\u003cp\u003eprocedures addressing weaknesses or deficiencies in supply chain elements\u003c/p\u003e", + "\u003cp\u003eresults of independent or organizational assessments of supply chain controls and processes\u003c/p\u003e", + "\u003cp\u003eacquisition contracts, service-level agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with supply chain protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for addressing weaknesses or deficiencies in supply chain elements\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the addressing of weaknesses or deficiencies in supply chain elements\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sa-13", + "class": "SP800-53", + "title": "Trustworthiness", + "params": [ + { + "id": "sa-13_prm_1", + "label": "organization-defined information system, information system component, or information system service" + }, + { + "id": "sa-13_prm_2", + "label": "organization-defined assurance overlay" + } + ], + "props": [ + { + "class": "name", + "value": "SA-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-13_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-13a." + } + ], + "prose": [ + "\u003cp\u003eDescribes the trustworthiness required in the \u003cinsert param-id=\"sa-13_prm_1\"/\u003e supporting its critical missions/business functions; and\u003c/p\u003e" + ] + }, + { + "id": "sa-13_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-13b." + } + ], + "prose": [ + "\u003cp\u003eImplements \u003cinsert param-id=\"sa-13_prm_2\"/\u003e to achieve such trustworthiness.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control helps organizations to make explicit trustworthiness decisions when designing, developing, and implementing information systems that are needed to conduct critical organizational missions/business functions. Trustworthiness is a characteristic/property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information it processes, stores, or transmits. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Trustworthy systems are important to mission/business success. Two factors affecting the trustworthiness of information systems include: (i) security functionality (i.e., the security features, functions, and/or mechanisms employed within the system and its environment of operation); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application). Developers, implementers, operators, and maintainers of organizational information systems can increase the level of assurance (and trustworthiness), for example, by employing well-defined security policy models, structured and rigorous hardware, software, and firmware development techniques, sound system/security engineering principles, and secure configuration settings (defined by a set of assurance-related security controls in Appendix E). Assurance is also based on the assessment of evidence produced during the system development life cycle. Critical missions/business functions are supported by high-impact systems and the associated assurance requirements for such systems. The additional assurance controls in Table E-4 in Appendix E (designated as optional) can be used to develop and implement high-assurance solutions for specific information systems and system components using the concept of overlays described in Appendix I. Organizations select assurance overlays that have been developed, validated, and approved for community adoption (e.g., cross-organization, governmentwide), limiting the development of such overlays on an organization-by-organization basis. Organizations can conduct criticality analyses as described in SA-14, to determine the information systems, system components, or information system services that require high-assurance solutions. Trustworthiness requirements and assurance overlays can be described in the security plans for organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ra-2" + }, + { + "rel": "related", + "href": "#sa-4" + }, + { + "rel": "related", + "href": "#sa-8" + }, + { + "rel": "related", + "href": "#sa-14" + }, + { + "rel": "related", + "href": "#sc-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-13_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-13(a)" + } + ], + "parts": [ + { + "id": "sa-13_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-13(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system, system component, or information system service for which the trustworthiness required is to be described;\u003c/p\u003e" + ] + }, + { + "id": "sa-13_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-13(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edescribes the trustworthiness required in organization-defined information system, information system component, or information system service supporting its critical mission/business functions;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-13_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-13(b)" + } + ], + "parts": [ + { + "id": "sa-13_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-13(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines an assurance overlay to be implemented to achieve such trustworthiness; and\u003c/p\u003e" + ] + }, + { + "id": "sa-13_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-13(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eorganization implements the organization-defined assurance overlay to achieve such trustworthiness.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing trustworthiness requirements for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esecurity categorization documentation/results\u003c/p\u003e", + "\u003cp\u003esecurity authorization package for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eauthorizing official\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sa-14", + "class": "SP800-53", + "title": "Criticality Analysis", + "params": [ + { + "id": "sa-14_prm_1", + "label": "organization-defined information systems, information system components, or information system services" + }, + { + "id": "sa-14_prm_2", + "label": "organization-defined decision points in the system development life cycle" + } + ], + "props": [ + { + "class": "name", + "value": "SA-14" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization identifies critical information system components and functions by performing a criticality analysis for \u003cinsert param-id=\"sa-14_prm_1\"/\u003e at \u003cinsert param-id=\"sa-14_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCriticality analysis is a key tenet of supply chain risk management and informs the prioritization of supply chain protection activities such as attack surface reduction, use of all-source intelligence, and tailored acquisition strategies. Information system engineers can conduct an end-to-end functional decomposition of an information system to identify mission-critical functions and components. The functional decomposition includes the identification of core organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and beyond the information system boundary. Information system components that allow for unmediated access to critical components or functions are considered critical due to the inherent vulnerabilities such components create. Criticality is assessed in terms of the impact of the function or component failure on the ability of the component to complete the organizational missions supported by the information system. A criticality analysis is performed whenever an architecture or design is being developed or modified, including upgrades.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#pl-2" + }, + { + "rel": "related", + "href": "#pl-8" + }, + { + "rel": "related", + "href": "#pm-1" + }, + { + "rel": "related", + "href": "#sa-8" + }, + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#sa-13" + }, + { + "rel": "related", + "href": "#sa-15" + }, + { + "rel": "related", + "href": "#sa-20" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-14_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-14[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information systems, information system components, or information system services requiring a criticality analysis to identify critical information system components and functions;\u003c/p\u003e" + ] + }, + { + "id": "sa-14_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-14[2]" + } + ], + "prose": [ + "\u003cp\u003edefines decision points in the system development life cycle when a criticality analysis is to be performed for organization-defined information systems, information system components, or information system services; and\u003c/p\u003e" + ] + }, + { + "id": "sa-14_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-14[3]" + } + ], + "prose": [ + "\u003cp\u003eidentifies critical information system components and functions by performing a criticality analysis for organization-defined information systems, information system components, or information system services at organization-defined decisions points in the system development life cycle.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing criticality analysis requirements for information systems, security plan\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003elist of information systems, information system components, or information system services requiring criticality analyses\u003c/p\u003e", + "\u003cp\u003elist of critical information system components and functions identified by criticality analyses\u003c/p\u003e", + "\u003cp\u003ecriticality analysis documentation\u003c/p\u003e", + "\u003cp\u003ebusiness impact analysis documentation\u003c/p\u003e", + "\u003cp\u003esystem development life cycle documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for performing criticality analysis for the information system\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sa-14.1", + "class": "SP800-53-enhancement", + "title": "Critical Components with No Viable Alternative Sourcing", + "links": [ + { + "rel": "related", + "href": "#sa-20" + } + ], + "props": [ + { + "class": "name", + "value": "SA-14 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SA-20\u003c/i\u003e \u003ci\u003eIncorporated into SA-20\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-15", + "class": "SP800-53", + "title": "Development Process, Standards, and Tools", + "params": [ + { + "id": "sa-15_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "sa-15_prm_2", + "label": "organization-defined security requirements" + } + ], + "props": [ + { + "class": "name", + "value": "SA-15" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15a." + } + ], + "prose": [ + "\u003cp\u003eRequires the developer of the information system, system component, or information system service to follow a documented development process that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15a.1." + } + ], + "prose": [ + "\u003cp\u003eExplicitly addresses security requirements;\u003c/p\u003e" + ] + }, + { + "id": "sa-15_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15a.2." + } + ], + "prose": [ + "\u003cp\u003eIdentifies the standards and tools used in the development process;\u003c/p\u003e" + ] + }, + { + "id": "sa-15_smt_a.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15a.3." + } + ], + "prose": [ + "\u003cp\u003eDocuments the specific tool options and tool configurations used in the development process; and\u003c/p\u003e" + ] + }, + { + "id": "sa-15_smt_a.4", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15a.4." + } + ], + "prose": [ + "\u003cp\u003eDocuments, manages, and ensures the integrity of changes to the process and/or tools used in development; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-15_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15b." + } + ], + "prose": [ + "\u003cp\u003eReviews the development process, standards, tools, and tool options/configurations \u003cinsert param-id=\"sa-15_prm_1\"/\u003e to determine if the process, standards, tools, and tool options/configurations selected and employed can satisfy \u003cinsert param-id=\"sa-15_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopment tools include, for example, programming languages and computer-aided design (CAD) systems. Reviews of development processes can include, for example, the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes enables accurate supply chain risk assessment and mitigation, and requires robust configuration control throughout the life cycle (including design, development, transport, delivery, integration, and maintenance) to track authorized changes and prevent unauthorized changes.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-3" + }, + { + "rel": "related", + "href": "#sa-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(a)" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to follow a documented development process that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(a)(1)" + } + ], + "prose": [ + "\u003cp\u003eexplicitly addresses security requirements;\u003c/p\u003e" + ] + }, + { + "id": "sa-15_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(a)(2)" + } + ], + "prose": [ + "\u003cp\u003eidentifies the standards and tools used in the development process;\u003c/p\u003e" + ] + }, + { + "id": "sa-15_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(a)(3)" + } + ], + "parts": [ + { + "id": "sa-15_obj_a.3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(a)(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edocuments the specific tool options used in the development process;\u003c/p\u003e" + ] + }, + { + "id": "sa-15_obj_a.3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(a)(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edocuments the specific tool configurations used in the development process;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-15_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(a)(4)" + } + ], + "parts": [ + { + "id": "sa-15_obj_a.4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(a)(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edocuments changes to the process and/or tools used in the development;\u003c/p\u003e" + ] + }, + { + "id": "sa-15_obj_a.4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(a)(4)[2]" + } + ], + "prose": [ + "\u003cp\u003emanages changes to the process and/or tools used in the development;\u003c/p\u003e" + ] + }, + { + "id": "sa-15_obj_a.4.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(a)(4)[3]" + } + ], + "prose": [ + "\u003cp\u003eensures the integrity of changes to the process and/or tools used in the development;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-15_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(b)" + } + ], + "parts": [ + { + "id": "sa-15_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to review the development process, standards, tools, and tool options/configurations;\u003c/p\u003e" + ] + }, + { + "id": "sa-15_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines security requirements to be satisfied by the process, standards, tools, and tool option/configurations selected and employed; and\u003c/p\u003e" + ] + }, + { + "id": "sa-15_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(b)[3]" + } + ], + "parts": [ + { + "id": "sa-15_obj_b.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(b)[3][a]" + } + ], + "prose": [ + "\u003cp\u003ereviews the development process with the organization-defined frequency to determine if the process selected and employed can satisfy organization-defined security requirements;\u003c/p\u003e" + ] + }, + { + "id": "sa-15_obj_b.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(b)[3][b]" + } + ], + "prose": [ + "\u003cp\u003ereviews the development standards with the organization-defined frequency to determine if the standards selected and employed can satisfy organization-defined security requirements;\u003c/p\u003e" + ] + }, + { + "id": "sa-15_obj_b.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(b)[3][c]" + } + ], + "prose": [ + "\u003cp\u003ereviews the development tools with the organization-defined frequency to determine if the tools selected and employed can satisfy organization-defined security requirements; and\u003c/p\u003e" + ] + }, + { + "id": "sa-15_obj_b.3.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(b)[3][d]" + } + ], + "prose": [ + "\u003cp\u003ereviews the development tool options/configurations with the organization-defined frequency to determine if the tool options/configurations selected and employed can satisfy organization-defined security requirements.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of security requirements during the development process\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem developer documentation listing tool options/configuration guides, configuration management records\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003econfiguration control records\u003c/p\u003e", + "\u003cp\u003edocumented reviews of development process, standards, tools, and tool options/configurations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sa-15.1", + "class": "SP800-53-enhancement", + "title": "Quality Metrics", + "params": [ + { + "id": "sa-15.1_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "\n \n " + }, + { + "assignments": null, + "Value": "\n \n " + }, + { + "assignments": null, + "Value": "upon delivery" + } + ] + } + }, + { + "id": "sa-15.1_prm_2", + "dependsOn": "sa-15.1_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "sa-15.1_prm_3", + "dependsOn": "sa-15.1_prm_1", + "label": "organization-defined program review milestones" + } + ], + "props": [ + { + "class": "name", + "value": "SA-15 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eDefine quality metrics at the beginning of the development process; and\u003c/p\u003e" + ] + }, + { + "id": "sa-15.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eProvide evidence of meeting the quality metrics \u003cinsert param-id=\"sa-15.1_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations use quality metrics to establish minimum acceptable levels of information system quality. Metrics may include quality gates which are collections of completion criteria or sufficiency standards representing the satisfactory execution of particular phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or an explicit determination that the warnings have no impact on the effectiveness of required security capabilities. During the execution phases of development projects, quality gates provide clear, unambiguous indications of progress. Other metrics apply to the entire development project. These metrics can include defining the severity thresholds of vulnerabilities, for example, requiring no known vulnerabilities in the delivered information system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(1)(a)" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to define quality metrics at the beginning of the development process;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)" + } + ], + "parts": [ + { + "id": "sa-15.1_obj_1.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to provide evidence of meeting the quality metrics;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.1_obj_1.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines program review milestones to provide evidence of meeting the quality metrics;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.1_obj_1.b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[3]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to provide evidence of meeting the quality metrics one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15.1_obj_1.b.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[3][a]" + } + ], + "prose": [ + "\u003cp\u003ewith the organization-defined frequency;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.1_obj_1.b.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[3][b]" + } + ], + "prose": [ + "\u003cp\u003ein accordance with the organization-defined program review milestones; and/or\u003c/p\u003e" + ] + }, + { + "id": "sa-15.1_obj_1.b.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(1)(b)[3][c]" + } + ], + "prose": [ + "\u003cp\u003eupon delivery of the information system, system component, or information system service.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003elist of quality metrics\u003c/p\u003e", + "\u003cp\u003edocumentation evidence of meeting quality metrics\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-15.2", + "class": "SP800-53-enhancement", + "title": "Security Tracking Tools", + "props": [ + { + "class": "name", + "value": "SA-15 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system development teams select and deploy security tracking tools, including, for example, vulnerability/work item tracking systems that facilitate assignment, sorting, filtering, and tracking of completed work items or tasks associated with system development processes.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp\u003eprocedures addressing the integration of security requirements into the acquisition process\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003elist of quality metrics\u003c/p\u003e", + "\u003cp\u003edocumentation evidence of meeting quality metrics\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-15.3", + "class": "SP800-53-enhancement", + "title": "Criticality Analysis", + "params": [ + { + "id": "sa-15.3_prm_1", + "label": "organization-defined breadth/depth" + }, + { + "id": "sa-15.3_prm_2", + "label": "organization-defined decision points in the system development life cycle" + } + ], + "props": [ + { + "class": "name", + "value": "SA-15 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to perform a criticality analysis at \u003cinsert param-id=\"sa-15.3_prm_1\"/\u003e and at \u003cinsert param-id=\"sa-15.3_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides developer input to the criticality analysis performed by organizations in SA-14. Developer input is essential to such analysis because organizations may not have access to detailed design documentation for information system components that are developed as commercial off-the-shelf (COTS) information technology products (e.g., functional specifications, high-level designs, low-level designs, and source code/hardware schematics).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-4" + }, + { + "rel": "related", + "href": "#sa-14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the breadth of criticality analysis to be performed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the depth of criticality analysis to be performed by the developer of the information system, system component, or information system service;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(3)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines decision points in the system development life cycle when a criticality analysis is to be performed for the information system, system component, or information system service; and\u003c/p\u003e" + ] + }, + { + "id": "sa-15.3_obj_3.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(3)[4]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to perform a criticality analysis at the organization-defined breadth/depth and at organization-defined decision points in the system development life cycle.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp\u003eprocedures addressing criticality analysis requirements for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003ecriticality analysis documentation\u003c/p\u003e", + "\u003cp\u003ebusiness impact analysis documentation\u003c/p\u003e", + "\u003cp\u003esoftware development life cycle documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsibility for performing criticality analysis\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for performing criticality analysis\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing criticality analysis\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-15.4", + "class": "SP800-53-enhancement", + "title": "Threat Modeling / Vulnerability Analysis", + "params": [ + { + "id": "sa-15.4_prm_1", + "label": "organization-defined breadth/depth" + }, + { + "id": "sa-15.4_prm_2", + "label": "organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels" + }, + { + "id": "sa-15.4_prm_3", + "label": "organization-defined tools and methods" + }, + { + "id": "sa-15.4_prm_4", + "label": "organization-defined acceptance criteria" + } + ], + "props": [ + { + "class": "name", + "value": "SA-15 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires that developers perform threat modeling and a vulnerability analysis for the information system at \u003cinsert param-id=\"sa-15.4_prm_1\"/\u003e that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15.4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15 (4)(a)" + } + ], + "prose": [ + "\u003cp\u003eUses \u003cinsert param-id=\"sa-15.4_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15 (4)(b)" + } + ], + "prose": [ + "\u003cp\u003eEmploys \u003cinsert param-id=\"sa-15.4_prm_3\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "sa-15.4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15 (4)(c)" + } + ], + "prose": [ + "\u003cp\u003eProduces evidence that meets \u003cinsert param-id=\"sa-15.4_prm_4\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#sa-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the breadth of threat modeling and vulnerability analysis to be performed by developers for the information system;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(4)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the depth of threat modeling and vulnerability analysis to be performed by developers for the information system;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.4_obj_4.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(4)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels to be used in threat modeling and vulnerability analysis;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.4_obj_4.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(4)[4]" + } + ], + "prose": [ + "\u003cp\u003edefines tools and methods to be employed in threat modeling and vulnerability analysis;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.4_obj_4.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(4)[5]" + } + ], + "prose": [ + "\u003cp\u003edefines acceptance criteria for evidence produced from threat modeling and vulnerability analysis;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.4_obj_4.6", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(4)[6]" + } + ], + "prose": [ + "\u003cp\u003erequires that developers perform threat modeling and a vulnerability analysis for the information system at the organization-defined breadth/depth that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15.4_obj_4.6.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(4)[6](a)" + } + ], + "prose": [ + "\u003cp\u003euses organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.4_obj_4.6.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(4)[6](b)" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined tools and methods; and\u003c/p\u003e" + ] + }, + { + "id": "sa-15.4_obj_4.6.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(4)[6](c)" + } + ], + "prose": [ + "\u003cp\u003eproduces evidence that meets organization-defined acceptance criteria.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003ethreat modeling documentation\u003c/p\u003e", + "\u003cp\u003evulnerability analysis results\u003c/p\u003e", + "\u003cp\u003eorganizational risk assessments\u003c/p\u003e", + "\u003cp\u003eacceptance criteria for evidence produced from threat modeling and vulnerability analysis\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for performing development threat modeling and vulnerability analysis\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing development threat modeling and vulnerability analysis\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-15.5", + "class": "SP800-53-enhancement", + "title": "Attack Surface Reduction", + "params": [ + { + "id": "sa-15.5_prm_1", + "label": "organization-defined thresholds" + } + ], + "props": [ + { + "class": "name", + "value": "SA-15 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to reduce attack surfaces to \u003cinsert param-id=\"sa-15.5_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAttack surface reduction is closely aligned with developer threat and vulnerability analyses and information system architecture and design. Attack surface reduction is a means of reducing risk to organizations by giving attackers less opportunity to exploit weaknesses or deficiencies (i.e., potential vulnerabilities) within information systems, information system components, and information system services. Attack surface reduction includes, for example, applying the principle of least privilege, employing layered defenses, applying the principle of least functionality (i.e., restricting ports, protocols, functions, and services), deprecating unsafe functions, and eliminating application programming interfaces (APIs) that are vulnerable to cyber attacks.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines thresholds to which attack surfaces are to be reduced; and\u003c/p\u003e" + ] + }, + { + "id": "sa-15.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(5)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to reduce attack surfaces to organization-defined thresholds.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp\u003eprocedures addressing attack surface reduction\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, or information system service\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003enetwork diagram\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation establishing/enforcing organization-defined thresholds for reducing attack surfaces\u003c/p\u003e", + "\u003cp\u003elist of restricted ports, protocols, functions and services\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsibility for attack surface reduction thresholds\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining attack surface reduction thresholds\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-15.6", + "class": "SP800-53-enhancement", + "title": "Continuous Improvement", + "props": [ + { + "class": "name", + "value": "SA-15 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopers of information systems, information system components, and information system services consider the effectiveness/efficiency of current development processes for meeting quality objectives and addressing security capabilities in current threat environments.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003equality goals and metrics for improving system development process\u003c/p\u003e", + "\u003cp\u003esecurity assessments and/or quality control reviews of system development process\u003c/p\u003e", + "\u003cp\u003eplans of action and milestones for improving system development process\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-15.7", + "class": "SP800-53-enhancement", + "title": "Automated Vulnerability Analysis", + "params": [ + { + "id": "sa-15.7_prm_1", + "label": "organization-defined tools" + }, + { + "id": "sa-15.7_prm_2", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SA-15 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15.7_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15 (7)(a)" + } + ], + "prose": [ + "\u003cp\u003ePerform an automated vulnerability analysis using \u003cinsert param-id=\"sa-15.7_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.7_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15 (7)(b)" + } + ], + "prose": [ + "\u003cp\u003eDetermine the exploitation potential for discovered vulnerabilities;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.7_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15 (7)(c)" + } + ], + "prose": [ + "\u003cp\u003eDetermine potential risk mitigations for delivered vulnerabilities; and\u003c/p\u003e" + ] + }, + { + "id": "sa-15.7_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-15 (7)(d)" + } + ], + "prose": [ + "\u003cp\u003eDeliver the outputs of the tools and results of the analysis to \u003cinsert param-id=\"sa-15.7_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ra-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15.7_obj_7.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(7)(a)" + } + ], + "parts": [ + { + "id": "sa-15.7_obj_7.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(7)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines tools to be used to perform automated vulnerability analysis of the information system, system component, or information system service;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.7_obj_7.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(7)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to perform an automated vulnerability analysis using organization-defined tools;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-15.7_obj_7.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(7)(b)" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to determine the exploitation potential for discovered vulnerabilities;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.7_obj_7.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(7)(c)" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to determine potential risk mitigations for delivered vulnerabilities;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.7_obj_7.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(7)(d)" + } + ], + "parts": [ + { + "id": "sa-15.7_obj_7.d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(7)(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the output of the tools and results of the analysis are to be delivered; and\u003c/p\u003e" + ] + }, + { + "id": "sa-15.7_obj_7.d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(7)(d)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to deliver the outputs of the tools and results of the analysis to organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003evulnerability analysis tools and associated documentation\u003c/p\u003e", + "\u003cp\u003erisk assessment reports\u003c/p\u003e", + "\u003cp\u003evulnerability analysis results\u003c/p\u003e", + "\u003cp\u003evulnerability mitigation reports\u003c/p\u003e", + "\u003cp\u003erisk mitigation strategy documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel performing automated vulnerability analysis on the information system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for vulnerability analysis of information systems, system components, or information system services under development\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing vulnerability analysis of information systems, system 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Similar information systems or system components may exist within developer organizations. Authoritative vulnerability information is available from a variety of public and private sector sources including, for example, the National Vulnerability Database.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003ethreat modeling and vulnerability analyses from similar information systems, system components, or information system service\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-15.9", + "class": "SP800-53-enhancement", + "title": "Use of Live Data", + "props": [ + { + "class": "name", + "value": "SA-15 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization approves, documents, and controls the use of live data in development and test environments for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of live data in preproduction environments can result in significant risk to organizations. Organizations can minimize such risk by using test or dummy data during the development and testing of information systems, information system components, and information system services.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization, for the information system, system component, or information system service:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-15.9_obj_9.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(9)[1]" + } + ], + "prose": [ + "\u003cp\u003eapproves the use of live data in development and test environments;\u003c/p\u003e" + ] + }, + { + "id": "sa-15.9_obj_9.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(9)[2]" + } + ], + "prose": [ + "\u003cp\u003edocuments the use of live data in development and test environments; and\u003c/p\u003e" + ] + }, + { + "id": "sa-15.9_obj_9.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-15(9)[3]" + } + ], + "prose": [ + "\u003cp\u003econtrols the use of live data in development and test environments.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003edocumentation authorizing use of live data in development and test environments\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for approving, documenting, and controlling the use of live data in development and test environments\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the approval, documentation, and control of the use of live data in development and test environments\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-15.10", + "class": "SP800-53-enhancement", + "title": "Incident Response Plan", + "props": [ + { + "class": "name", + "value": "SA-15 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to provide an incident response plan.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe incident response plan for developers of information systems, system components, and information system services is incorporated into organizational incident response plans to provide the type of incident response information not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf (COTS) information technology products.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ir-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to provide an incident response plan.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, or services\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003edeveloper incident response plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-15.11", + "class": "SP800-53-enhancement", + "title": "Archive Information System / Component", + "props": [ + { + "class": "name", + "value": "SA-15 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eArchiving relevant documentation from the development process can provide a readily available baseline of information that can be helpful during information system/component upgrades or modifications.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing development process, standards, and tools\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, or services\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003edeveloper incident response plan\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sa-16", + "class": "SP800-53", + "title": "Developer-provided Training", + "params": [ + { + "id": "sa-16_prm_1", + "label": "organization-defined training" + } + ], + "props": [ + { + "class": "name", + "value": "SA-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to provide \u003cinsert param-id=\"sa-16_prm_1\"/\u003e on the correct use and operation of the implemented security functions, controls, and/or mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to external and internal (in-house) developers. Training of personnel is an essential element to ensure the effectiveness of security controls implemented within organizational information systems. Training options include, for example, classroom-style training, web-based/computer-based training, and hands-on training. Organizations can also request sufficient training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security functions, controls, or mechanisms.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-2" + }, + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#sa-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-16_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-16[1]" + } + ], + "prose": [ + "\u003cp\u003edefines training to be provided by the developer of the information system, system component, or information system service; and\u003c/p\u003e" + ] + }, + { + "id": "sa-16_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-16[2]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to provide organization-defined training on the correct use and operation of the implemented security functions, controls, and/or mechanisms.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing developer-provided training\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003edeveloper-provided training materials\u003c/p\u003e", + "\u003cp\u003etraining records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational or third-party developers with training responsibilities for the information system, system component, or information system service\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-17", + "class": "SP800-53", + "title": "Developer Security Architecture and Design", + "props": [ + { + "class": "name", + "value": "SA-17" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17a." + } + ], + "prose": [ + "\u003cp\u003eIs consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture;\u003c/p\u003e" + ] + }, + { + "id": "sa-17_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17b." + } + ], + "prose": [ + "\u003cp\u003eAccurately and completely describes the required security functionality, and the allocation of security controls among physical and logical components; and\u003c/p\u003e" + ] + }, + { + "id": "sa-17_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17c." + } + ], + "prose": [ + "\u003cp\u003eExpresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control is primarily directed at external developers, although it could also be used for internal (in-house) development. In contrast, PL-8 is primarily directed at internal developers to help ensure that organizations develop an information security architecture and such security architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important if/when organizations outsource the development of information systems, information system components, or information system services to external entities, and there is a requirement to demonstrate consistency with the organization’s enterprise architecture and information security architecture.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pl-8" + }, + { + "rel": "related", + "href": "#pm-7" + }, + { + "rel": "related", + "href": "#sa-3" + }, + { + "rel": "related", + "href": "#sa-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(a)" + } + ], + "prose": [ + "\u003cp\u003eis consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture;\u003c/p\u003e" + ] + }, + { + "id": "sa-17_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(b)" + } + ], + "prose": [ + "\u003cp\u003eaccurately and completely describes:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe required security functionality;\u003c/p\u003e" + ] + }, + { + "id": "sa-17_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe allocation of security controls among physical and logical components; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-17_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(c)" + } + ], + "prose": [ + "\u003cp\u003eexpresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003edesign specification and security architecture documentation for the system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sa-17.1", + "class": "SP800-53-enhancement", + "title": "Formal Policy Model", + "params": [ + { + "id": "sa-17.1_prm_1", + "label": "organization-defined elements of organizational security policy" + } + ], + "props": [ + { + "class": "name", + "value": "SA-17 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eProduce, as an integral part of the development process, a formal policy model describing the \u003cinsert param-id=\"sa-17.1_prm_1\"/\u003e to be enforced; and\u003c/p\u003e" + ] + }, + { + "id": "sa-17.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eProve that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFormal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors/policies to be formally proven. Not all components of information systems can be modeled, and generally, formal specifications are scoped to specific behaviors or policies of interest (e.g., nondiscretionary access control policies). Organizations choose the particular formal modeling language and approach based on the nature of the behaviors/policies to be described and the available tools. Formal modeling tools include, for example, Gypsy and Zed.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(1)(a)" + } + ], + "parts": [ + { + "id": "sa-17.1_obj_1.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(1)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines elements of the organizational security policy to be enforced under a formal policy model produced by the developer as an integral part of the development process for the information system, system component, or information system service;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.1_obj_1.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(1)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to produce, as an integral part of the development process, a formal policy model describing the organization-defined elements of organizational security policy to be enforced; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-17.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(1)(b)" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service to prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when implemented.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003edesign specification and security architecture documentation for the system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-17.2", + "class": "SP800-53-enhancement", + "title": "Security-relevant Components", + "props": [ + { + "class": "name", + "value": "SA-17 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17.2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (2)(a)" + } + ], + "prose": [ + "\u003cp\u003eDefine security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ] + }, + { + "id": "sa-17.2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (2)(b)" + } + ], + "prose": [ + "\u003cp\u003eProvide a rationale that the definition for security-relevant hardware, software, and firmware is complete.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity-relevant hardware, software, and firmware represent the portion of the information system, component, or service that must be trusted to perform correctly in order to maintain required security properties.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17.2_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(2)(a)" + } + ], + "parts": [ + { + "id": "sa-17.2_obj_2.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(2)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefine security-relevant hardware;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.2_obj_2.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(2)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edefine security-relevant software;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.2_obj_2.a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(2)(a)[3]" + } + ], + "prose": [ + "\u003cp\u003edefine security-relevant firmware; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-17.2_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(2)(b)" + } + ], + "prose": [ + "\u003cp\u003eprovide a rationale that the definition for security-relevant hardware, software, and firmware components is complete.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003elist of security-relevant hardware, software, and firmware components\u003c/p\u003e", + "\u003cp\u003edocumented rationale of completeness regarding definitions provided for security-relevant hardware, software, and firmware\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-17.3", + "class": "SP800-53-enhancement", + "title": "Formal Correspondence", + "props": [ + { + "class": "name", + "value": "SA-17 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17.3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (3)(a)" + } + ], + "prose": [ + "\u003cp\u003eProduce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (3)(b)" + } + ], + "prose": [ + "\u003cp\u003eShow via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.3_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (3)(c)" + } + ], + "prose": [ + "\u003cp\u003eShow via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.3_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (3)(d)" + } + ], + "prose": [ + "\u003cp\u003eShow that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ] + }, + { + "id": "sa-17.3_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (3)(e)" + } + ], + "prose": [ + "\u003cp\u003eDescribe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrespondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present have no impact on the behaviors or policies being modeled. Formal methods can be used to show that the high-level security properties are satisfied by the formal information system description, and that the formal system description is correctly implemented by a description of some lower level, for example a hardware description. Consistency between the formal top-level specification and the formal policy models is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Consistency between the formal top-level specification and the implementation may require the use of an informal demonstration due to limitations in the applicability of formal methods to prove that the specification accurately reflects the implementation. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17.3_obj_3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(3)(a)" + } + ], + "prose": [ + "\u003cp\u003eproduce, as an integral part of the development process, a formal top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17.3_obj_3.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(3)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eexceptions;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.3_obj_3.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(3)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eerror messages;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.3_obj_3.a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(3)(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eeffects;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-17.3_obj_3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(3)(b)" + } + ], + "prose": [ + "\u003cp\u003eshow via proof to the extent feasible with additional informal demonstration as necessary, that the formal top-level specification is consistent with the formal policy model;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.3_obj_3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(3)(c)" + } + ], + "prose": [ + "\u003cp\u003eshow via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.3_obj_3.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(3)(d)" + } + ], + "prose": [ + "\u003cp\u003eshow that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ] + }, + { + "id": "sa-17.3_obj_3.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(3)(e)" + } + ], + "prose": [ + "\u003cp\u003edescribe the security-relevant hardware, software, and firmware mechanisms not addressed in the formal top-level specification but strictly internal to the security-relevant hardware, software, and firmware.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp\u003eformal policy model\u003c/p\u003e", + "\u003cp\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003eformal top-level specification documentation\u003c/p\u003e", + "\u003cp\u003einformation system security architecture and design documentation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003edocumentation describing security-relevant hardware, software and firmware mechanisms not addressed in the formal top-level specification documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-17.4", + "class": "SP800-53-enhancement", + "title": "Informal Correspondence", + "params": [ + { + "id": "sa-17.4_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "informal demonstration, convincing argument with formal methods as feasible" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "SA-17 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17.4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (4)(a)" + } + ], + "prose": [ + "\u003cp\u003eProduce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of exceptions, error messages, and effects;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (4)(b)" + } + ], + "prose": [ + "\u003cp\u003eShow via \u003cinsert param-id=\"sa-17.4_prm_1\"/\u003e that the descriptive top-level specification is consistent with the formal policy model;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (4)(c)" + } + ], + "prose": [ + "\u003cp\u003eShow via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.4_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (4)(d)" + } + ], + "prose": [ + "\u003cp\u003eShow that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ] + }, + { + "id": "sa-17.4_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (4)(e)" + } + ], + "prose": [ + "\u003cp\u003eDescribe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrespondence is an important part of the assurance gained through modeling. It demonstrates that the implementation is an accurate transformation of the model, and that any additional code or implementation details present has no impact on the behaviors or policies being modeled. Consistency between the descriptive top-level specification (i.e., high-level/low-level design) and the formal policy model is generally not amenable to being fully proven. Therefore, a combination of formal/informal methods may be needed to show such consistency. Hardware, software, and firmware mechanisms strictly internal to security-relevant hardware, software, and firmware include, for example, mapping registers and direct memory input/output.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17.4_obj_4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(4)(a)" + } + ], + "prose": [ + "\u003cp\u003eproduce, as an integral part of the development process, an informal descriptive top-level specification that specifies the interfaces to security-relevant hardware, software, and firmware in terms of:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17.4_obj_4.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(4)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eexceptions;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.4_obj_4.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(4)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eerror messages;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.4_obj_4.a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(4)(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eeffects;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sa-17.4_obj_4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(4)(b)" + } + ], + "prose": [ + "\u003cp\u003eshow via informal demonstration and/or convincing argument with formal methods as feasible that the descriptive top-level specification is consistent with the formal policy model;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.4_obj_4.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(4)(c)" + } + ], + "prose": [ + "\u003cp\u003eshow via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;\u003c/p\u003e" + ] + }, + { + "id": "sa-17.4_obj_4.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(4)(d)" + } + ], + "prose": [ + "\u003cp\u003eshow that the descriptive top-level specification is an accurate description of the interfaces to the security-relevant hardware, software, and firmware; and\u003c/p\u003e" + ] + }, + { + "id": "sa-17.4_obj_4.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(4)(e)" + } + ], + "prose": [ + "\u003cp\u003edescribe the security-relevant hardware, software, and firmware mechanisms not addressed in the descriptive top-level specification but strictly internal to the security-relevant hardware, software, and firmware.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp\u003eformal policy model\u003c/p\u003e", + "\u003cp\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003einformal descriptive top-level specification documentation\u003c/p\u003e", + "\u003cp\u003einformation system security architecture and design documentation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003edocumentation describing security-relevant hardware, software and firmware mechanisms not addressed in the informal descriptive top-level specification documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-17.5", + "class": "SP800-53-enhancement", + "title": "Conceptually Simple Design", + "props": [ + { + "class": "name", + "value": "SA-17 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17.5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (5)(a)" + } + ], + "prose": [ + "\u003cp\u003eDesign and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and\u003c/p\u003e" + ] + }, + { + "id": "sa-17.5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-17 (5)(b)" + } + ], + "prose": [ + "\u003cp\u003eInternally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#sc-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-17.5_obj_5.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(5)(a)" + } + ], + "prose": [ + "\u003cp\u003edesign and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and\u003c/p\u003e" + ] + }, + { + "id": "sa-17.5_obj_5.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-17(5)(b)" + } + ], + "prose": [ + "\u003cp\u003einternally structure the security-relevant hardware, software, and firmware with specific regard for this mechanism.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system security architecture documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003edeveloper documentation describing design and structure of security-relevant hardware, software, and firmware components\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-17.6", + "class": "SP800-53-enhancement", + "title": "Structure for Testing", + "props": [ + { + "class": "name", + "value": "SA-17 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#sa-11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system security architecture documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003edeveloper documentation describing design and structure of security-relevant hardware, software, and firmware components to facilitate testing\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-17.7", + "class": "SP800-53-enhancement", + "title": "Structure for Least Privilege", + "props": [ + { + "class": "name", + "value": "SA-17 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ac-5" + }, + { + "rel": "related", + "href": "#ac-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eenterprise architecture policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing developer security architecture and design specification for the information system\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for the information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system security architecture documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003edeveloper documentation describing design and structure of security-relevant hardware, software, and firmware components to facilitate controlling access with least privilege\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with security architecture and design responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sa-18", + "class": "SP800-53", + "title": "Tamper Resistance and Detection", + "props": [ + { + "class": "name", + "value": "SA-18" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements a tamper protection program for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAnti-tamper technologies and techniques provide a level of protection for critical information systems, system components, and information technology products against a number of related threats including modification, reverse engineering, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting information systems, components, and products during distribution and when in use.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization implements a tamper protection program for the information system, system component, or information system service.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing tamper resistance and detection\u003c/p\u003e", + "\u003cp\u003etamper protection program documentation\u003c/p\u003e", + "\u003cp\u003etamper protection tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003etamper resistance and detection tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the tamper protection program\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for implementation of the tamper protection program\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the tamper protection program\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sa-18.1", + "class": "SP800-53-enhancement", + "title": "Multiple Phases of SDLC", + "props": [ + { + "class": "name", + "value": "SA-18 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including design, development, integration, operations, and maintenance.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations use a combination of hardware and software techniques for tamper resistance and detection. Organizations employ obfuscation and self-checking, for example, to make reverse engineering and modifications more difficult, time-consuming, and expensive for adversaries. Customization of information systems and system components can make substitutions easier to detect and therefore limit damage.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-18.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-18(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edesign;\u003c/p\u003e" + ] + }, + { + "id": "sa-18.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-18(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edevelopment;\u003c/p\u003e" + ] + }, + { + "id": "sa-18.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-18(1)[3]" + } + ], + "prose": [ + "\u003cp\u003eintegration;\u003c/p\u003e" + ] + }, + { + "id": "sa-18.1_obj_1.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-18(1)[4]" + } + ], + "prose": [ + "\u003cp\u003eoperations; and\u003c/p\u003e" + ] + }, + { + "id": "sa-18.1_obj_1.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-18(1)[5]" + } + ], + "prose": [ + "\u003cp\u003emaintenance.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing tamper resistance and detection\u003c/p\u003e", + "\u003cp\u003etamper protection program documentation\u003c/p\u003e", + "\u003cp\u003etamper protection tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003etamper resistance and detection tools (technologies) and techniques documentation\u003c/p\u003e", + "\u003cp\u003esystem development life cycle documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the tamper protection program\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with SDLC responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for employing anti-tamper technologies\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing anti-tamper technologies\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-18.2", + "class": "SP800-53-enhancement", + "title": "Inspection of Information Systems, Components, or Devices", + "params": [ + { + "id": "sa-18.2_prm_1", + "label": "organization-defined information systems, system components, or devices" + }, + { + "id": "sa-18.2_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "at random" + }, + { + "assignments": null, + "Value": "at , upon \n " + } + ] + } + }, + { + "id": "sa-18.2_prm_3", + "dependsOn": "sa-18.2_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "sa-18.2_prm_4", + "dependsOn": "sa-18.2_prm_2", + "label": "organization-defined indications of need for inspection" + } + ], + "props": [ + { + "class": "name", + "value": "SA-18 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization inspects \u003cinsert param-id=\"sa-18.2_prm_1\"/\u003e \u003cinsert param-id=\"sa-18.2_prm_2\"/\u003e to detect tampering.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses both physical and logical tampering and is typically applied to mobile devices, notebook computers, or other system components taken out of organization-controlled areas. Indications of need for inspection include, for example, when individuals return from travel to high-risk locations.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-18.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-18(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information systems, system components, or devices to be inspected to detect tampering;\u003c/p\u003e" + ] + }, + { + "id": "sa-18.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-18(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to inspect organization-defined information systems, system components, or devices to detect tampering;\u003c/p\u003e" + ] + }, + { + "id": "sa-18.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-18(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines indications of need for inspection of organization-defined information systems, system components, or devices to detect tampering;\u003c/p\u003e" + ] + }, + { + "id": "sa-18.2_obj_2.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-18(2)[4]" + } + ], + "prose": [ + "\u003cp\u003einspects organization-defined information systems, system components, or devices to detect tampering, selecting one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-18.2_obj_2.4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-18(2)[4][a]" + } + ], + "prose": [ + "\u003cp\u003eat random;\u003c/p\u003e" + ] + }, + { + "id": "sa-18.2_obj_2.4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-18(2)[4][b]" + } + ], + "prose": [ + "\u003cp\u003ewith the organization-defined frequency; and/or\u003c/p\u003e" + ] + }, + { + "id": "sa-18.2_obj_2.4.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-18(2)[4][c]" + } + ], + "prose": [ + "\u003cp\u003eupon organization-defined indications of need for inspection.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing tamper resistance and detection\u003c/p\u003e", + "\u003cp\u003erecords of random inspections\u003c/p\u003e", + "\u003cp\u003einspection reports/results\u003c/p\u003e", + "\u003cp\u003eassessment reports/results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the tamper protection program\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for inspecting information systems, system components, or devices to detect tampering\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing tampering detection\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sa-19", + "class": "SP800-53", + "title": "Component Authenticity", + "params": [ + { + "id": "sa-19_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "source of counterfeit component" + }, + { + "assignments": null, + "Value": "\n \n " + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "sa-19_prm_2", + "dependsOn": "sa-19_prm_1", + "label": "organization-defined external reporting organizations" + }, + { + "id": "sa-19_prm_3", + "dependsOn": "sa-19_prm_1", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SA-19" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-19_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-19a." + } + ], + "prose": [ + "\u003cp\u003eDevelops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system; and\u003c/p\u003e" + ] + }, + { + "id": "sa-19_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-19b." + } + ], + "prose": [ + "\u003cp\u003eReports counterfeit information system components to \u003cinsert param-id=\"sa-19_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSources of counterfeit components include, for example, manufacturers, developers, vendors, and contractors. Anti-counterfeiting policy and procedures support tamper resistance and provide a level of protection against the introduction of malicious code. External reporting organizations include, for example, US-CERT.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-19_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(a)" + } + ], + "prose": [ + "\u003cp\u003edevelops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system;\u003c/p\u003e" + ] + }, + { + "id": "sa-19_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(b)" + } + ], + "parts": [ + { + "id": "sa-19_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines external reporting organizations to whom counterfeit information system components are to be reported;\u003c/p\u003e" + ] + }, + { + "id": "sa-19_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom counterfeit information system components are to be reported;\u003c/p\u003e" + ] + }, + { + "id": "sa-19_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(b)[3]" + } + ], + "prose": [ + "\u003cp\u003ereports counterfeit information system components to one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-19_obj_b.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(b)[3][a]" + } + ], + "prose": [ + "\u003cp\u003ethe source of counterfeit component;\u003c/p\u003e" + ] + }, + { + "id": "sa-19_obj_b.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(b)[3][b]" + } + ], + "prose": [ + "\u003cp\u003ethe organization-defined external reporting organizations; and/or\u003c/p\u003e" + ] + }, + { + "id": "sa-19_obj_b.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(b)[3][c]" + } + ], + "prose": [ + "\u003cp\u003ethe organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp\u003emedia disposal policy\u003c/p\u003e", + "\u003cp\u003emedia protection policy\u003c/p\u003e", + "\u003cp\u003eincident response policy\u003c/p\u003e", + "\u003cp\u003etraining materials addressing counterfeit information system components\u003c/p\u003e", + "\u003cp\u003etraining records on detection and prevention of counterfeit components from entering the information system\u003c/p\u003e", + "\u003cp\u003ereports notifying developers/manufacturers/vendors/ contractors and/or external reporting organizations of counterfeit information system components\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for anti-counterfeit policy, procedures, and reporting\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for anti-counterfeit detection, prevention, and reporting\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing anti-counterfeit detection, prevention, and reporting\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sa-19.1", + "class": "SP800-53-enhancement", + "title": "Anti-counterfeit Training", + "params": [ + { + "id": "sa-19.1_prm_1", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SA-19 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization trains \u003cinsert param-id=\"sa-19.1_prm_1\"/\u003e to detect counterfeit information system components (including hardware, software, and firmware).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-19.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to be trained to detect counterfeit information system components (including hardware, software, and firmware); and\u003c/p\u003e" + ] + }, + { + "id": "sa-19.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(1)[2]" + } + ], + "prose": [ + "\u003cp\u003etrains organization-defined personnel or roles to detect counterfeit information system components (including hardware, software, and firmware).\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp\u003emedia disposal policy\u003c/p\u003e", + "\u003cp\u003emedia protection policy\u003c/p\u003e", + "\u003cp\u003eincident response policy\u003c/p\u003e", + "\u003cp\u003etraining materials addressing counterfeit information system components\u003c/p\u003e", + "\u003cp\u003etraining records on detection of counterfeit information system components\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for anti-counterfeit policy, procedures, and training\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for anti-counterfeit training\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-19.2", + "class": "SP800-53-enhancement", + "title": "Configuration Control for Component Service / Repair", + "params": [ + { + "id": "sa-19.2_prm_1", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SA-19 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization maintains configuration control over \u003cinsert param-id=\"sa-19.2_prm_1\"/\u003e awaiting service/repair and serviced/repaired components awaiting return to service.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-19.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components requiring configuration control to be maintained when awaiting service/repair;\u003c/p\u003e" + ] + }, + { + "id": "sa-19.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components requiring configuration control to be maintained when awaiting return to service; and\u003c/p\u003e" + ] + }, + { + "id": "sa-19.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(2)[3]" + } + ], + "prose": [ + "\u003cp\u003emaintains configuration control over organization-defined information system components awaiting service/repairs and serviced/repaired components awaiting return to service.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp\u003emedia protection policy\u003c/p\u003e", + "\u003cp\u003econfiguration management plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003econfiguration control records for components awaiting service/repair\u003c/p\u003e", + "\u003cp\u003econfiguration control records for serviced/repaired components awaiting return to service\u003c/p\u003e", + "\u003cp\u003einformation system maintenance records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003einventory management records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for anti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for configuration management\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for configuration management\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing configuration management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-19.3", + "class": "SP800-53-enhancement", + "title": "Component Disposal", + "params": [ + { + "id": "sa-19.3_prm_1", + "label": "organization-defined techniques and methods" + } + ], + "props": [ + { + "class": "name", + "value": "SA-19 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization disposes of information system components using \u003cinsert param-id=\"sa-19.3_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProper disposal of information system components helps to prevent such components from entering the gray market.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-19.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines techniques and methods to dispose of information system components; and\u003c/p\u003e" + ] + }, + { + "id": "sa-19.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edisposes of information system components using organization-defined techniques and methods.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp\u003emedia disposal policy\u003c/p\u003e", + "\u003cp\u003emedia protection policy\u003c/p\u003e", + "\u003cp\u003edisposal records for information system components\u003c/p\u003e", + "\u003cp\u003edocumentation of disposal techniques and methods employed for information system components\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for anti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for disposal of information system components\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational techniques and methods for information system component disposal\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing system component disposal\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-19.4", + "class": "SP800-53-enhancement", + "title": "Anti-counterfeit Scanning", + "params": [ + { + "id": "sa-19.4_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SA-19 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization scans for counterfeit information system components \u003cinsert param-id=\"sa-19.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-19.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to scan for counterfeit information system components; and\u003c/p\u003e" + ] + }, + { + "id": "sa-19.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-19(4)[2]" + } + ], + "prose": [ + "\u003cp\u003escans for counterfeit information system components with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eanti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003escanning tools and associated documentation\u003c/p\u003e", + "\u003cp\u003escanning results\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for anti-counterfeit policy and procedures\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for anti-counterfeit scanning\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for anti-counterfeit scanning\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing anti-counterfeit scanning\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sa-20", + "class": "SP800-53", + "title": "Customized Development of Critical Components", + "params": [ + { + "id": "sa-20_prm_1", + "label": "organization-defined critical information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SA-20" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization re-implements or custom develops \u003cinsert param-id=\"sa-20_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations determine that certain information system components likely cannot be trusted due to specific threats to and vulnerabilities in those components, and for which there are no viable security controls to adequately mitigate the resulting risk. Re-implementation or custom development of such components helps to satisfy requirements for higher assurance. This is accomplished by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to re-implement or custom develop critical information system components, additional safeguards can be employed (e.g., enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#sa-8" + }, + { + "rel": "related", + "href": "#sa-14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-20_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-20[1]" + } + ], + "prose": [ + "\u003cp\u003edefines critical information system components to be re-implemented or custom developed; and\u003c/p\u003e" + ] + }, + { + "id": "sa-20_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-20[2]" + } + ], + "prose": [ + "\u003cp\u003ere-implements or custom develops organization-defined information system components.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing customized development of critical information system components\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003esystem development life cycle documentation addressing custom development of critical information system components\u003c/p\u003e", + "\u003cp\u003econfiguration management records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility re-implementation or customized development of critical information system components\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for re-implementing or customized development of critical information system components\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing re-implementation or customized development of critical information system components\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sa-21", + "class": "SP800-53", + "title": "Developer Screening", + "params": [ + { + "id": "sa-21_prm_1", + "label": "organization-defined information system, system component, or information system service" + }, + { + "id": "sa-21_prm_2", + "label": "organization-defined official government duties" + }, + { + "id": "sa-21_prm_3", + "label": "organization-defined additional personnel screening criteria" + } + ], + "props": [ + { + "class": "name", + "value": "SA-21" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires that the developer of \u003cinsert param-id=\"sa-21_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-21_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-21a." + } + ], + "prose": [ + "\u003cp\u003eHave appropriate access authorizations as determined by assigned \u003cinsert param-id=\"sa-21_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "sa-21_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-21b." + } + ], + "prose": [ + "\u003cp\u003eSatisfy \u003cinsert param-id=\"sa-21_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBecause the information system, system component, or information system service may be employed in critical activities essential to the national and/or economic security interests of the United States, organizations have a strong interest in ensuring that the developer is trustworthy. The degree of trust required of the developer may need to be consistent with that of the individuals accessing the information system/component/service once deployed. Examples of authorization and personnel screening criteria include clearance, satisfactory background checks, citizenship, and nationality. Trustworthiness of developers may also include a review and analysis of company ownership and any relationships the company has with entities potentially affecting the quality/reliability of the systems, components, or services being developed.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ps-3" + }, + { + "rel": "related", + "href": "#ps-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-21_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-21[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the information system, system component, or information system service for which the developer is to be screened;\u003c/p\u003e" + ] + }, + { + "id": "sa-21_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-21[2]" + } + ], + "prose": [ + "\u003cp\u003edefines official government duties to be used to determine appropriate access authorizations for the developer;\u003c/p\u003e" + ] + }, + { + "id": "sa-21_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-21[3]" + } + ], + "prose": [ + "\u003cp\u003edefines additional personnel screening criteria to be satisfied by the developer;\u003c/p\u003e" + ] + }, + { + "id": "sa-21_obj_4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-21[4]" + } + ], + "parts": [ + { + "id": "sa-21_obj_4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-21[4][a]" + } + ], + "prose": [ + "\u003cp\u003erequires that the developer of organization-defined information system, system component, or information system service have appropriate access authorizations as determined by assigned organization-defined official government duties; and\u003c/p\u003e" + ] + }, + { + "id": "sa-21_obj_4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-21[4][b]" + } + ], + "prose": [ + "\u003cp\u003erequires that the developer of organization-defined information system, system component, or information system service satisfy organization-defined additional personnel screening criteria.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003epersonnel security policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing personnel screening\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of appropriate access authorizations required by developers of the information system\u003c/p\u003e", + "\u003cp\u003epersonnel screening criteria and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for developer screening\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for developer screening\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting developer screening\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sa-21.1", + "class": "SP800-53-enhancement", + "title": "Validation of Screening", + "params": [ + { + "id": "sa-21.1_prm_1", + "label": "organization-defined actions" + } + ], + "props": [ + { + "class": "name", + "value": "SA-21 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires the developer of the information system, system component, or information system service take \u003cinsert param-id=\"sa-21.1_prm_1\"/\u003e to ensure that the required access authorizations and screening criteria are satisfied.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSatisfying required access authorizations and personnel screening criteria includes, for example, providing a listing of all the individuals authorized to perform development activities on the selected information system, system component, or information system service so that organizations can validate that the developer has satisfied the necessary authorization and screening requirements.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-21.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-21(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines actions to be taken by the developer of the information system, system component, or information system service to ensure that the required access authorizations and screening criteria are satisfied; and\u003c/p\u003e" + ] + }, + { + "id": "sa-21.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-21(1)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires the developer of the information system, system component, or information system service take organization-defined actions to ensure that the required access authorizations and screening criteria are satisfied.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003epersonnel security policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing personnel screening\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of appropriate access authorizations required by developers of the information system\u003c/p\u003e", + "\u003cp\u003epersonnel screening criteria and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of actions ensuring required access authorizations and screening criteria are satisfied\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for developer screening\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for developer screening\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting developer screening\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sa-22", + "class": "SP800-53", + "title": "Unsupported System Components", + "props": [ + { + "class": "name", + "value": "SA-22" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-22_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-22a." + } + ], + "prose": [ + "\u003cp\u003eReplaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer; and\u003c/p\u003e" + ] + }, + { + "id": "sa-22_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SA-22b." + } + ], + "prose": [ + "\u003cp\u003eProvides justification and documents approval for the continued use of unsupported system components required to satisfy mission/business needs.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSupport for information system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components (e.g., when vendors are no longer providing critical software patches), provide a substantial opportunity for adversaries to exploit new weaknesses discovered in the currently installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission/business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pl-2" + }, + { + "rel": "related", + "href": "#sa-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-22_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-22(a)" + } + ], + "prose": [ + "\u003cp\u003ereplaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer;\u003c/p\u003e" + ] + }, + { + "id": "sa-22_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-22(b)" + } + ], + "parts": [ + { + "id": "sa-22_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-22(b)[1]" + } + ], + "prose": [ + "\u003cp\u003eprovides justification for the continued use of unsupported system components required to satisfy mission/business needs; and\u003c/p\u003e" + ] + }, + { + "id": "sa-22_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-22(b)[2]" + } + ], + "prose": [ + "\u003cp\u003edocuments approval for the continued use of unsupported system components required to satisfy mission/business needs.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing replacement or continued use of unsupported information system components\u003c/p\u003e", + "\u003cp\u003edocumented evidence of replacing unsupported information system components\u003c/p\u003e", + "\u003cp\u003edocumented approvals (including justification) for continued use of unsupported information system components\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility system development life cycle\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for configuration management\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for replacing unsupported system components\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing replacement of unsupported system components\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sa-22.1", + "class": "SP800-53-enhancement", + "title": "Alternative Sources for Continued Support", + "params": [ + { + "id": "sa-22.1_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "in-house support" + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "sa-22.1_prm_2", + "dependsOn": "sa-22.1_prm_1", + "label": "organization-defined support from external providers" + } + ], + "props": [ + { + "class": "name", + "value": "SA-22 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides \u003cinsert param-id=\"sa-22.1_prm_1\"/\u003e for unsupported information system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses the need to provide continued support for selected information system components that are no longer supported by the original developers, vendors, or manufacturers when such components remain essential to mission/business operations. Organizations can establish in-house support, for example, by developing customized patches for critical software components or secure the services of external providers who through contractual relationships, provide ongoing support for the designated unsupported components. Such contractual relationships can include, for example, Open Source Software value-added vendors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-22.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-22(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines support from external providers to be provided for unsupported information system components;\u003c/p\u003e" + ] + }, + { + "id": "sa-22.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-22(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides and/or obtains support for unsupported information system components from one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sa-22.1_obj_1.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-22(1)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ein-house support; and/or\u003c/p\u003e" + ] + }, + { + "id": "sa-22.1_obj_1.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SA-22(1)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined support from external providers.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and services acquisition policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing support for unsupported information system components\u003c/p\u003e", + "\u003cp\u003esolicitation documentation\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts\u003c/p\u003e", + "\u003cp\u003eservice-level agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and services acquisition responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility system development life cycle\u003c/p\u003e", + "\u003cp\u003eorganizational personnel or third-party external providers supporting information system components no longer supported by original developers, vendors, or manufacturers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for supporting system components no longer supported by original developers, vendors, or manufacturers\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms providing support for system components no longer supported by original developers, vendors, or manufacturers\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "System and Communications Protection", + "controls": [ + { + "id": "sc-1", + "class": "SP800-53", + "title": "System and Communications Protection Policy and Procedures", + "params": [ + { + "id": "sc-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "sc-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "sc-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SC-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"sc-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-1a.1." + } + ], + "prose": [ + "\u003cp\u003eA system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "sc-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-1b.1." + } + ], + "prose": [ + "\u003cp\u003eSystem and communications protection policy \u003cinsert param-id=\"sc-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "sc-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-1b.2." + } + ], + "prose": [ + "\u003cp\u003eSystem and communications protection procedures \u003cinsert param-id=\"sc-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)" + } + ], + "parts": [ + { + "id": "sc-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents a system and communications protection policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "sc-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "sc-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "sc-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "sc-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "sc-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "sc-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the system and communications protection policy is to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "sc-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the system and communications protection policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(2)" + } + ], + "parts": [ + { + "id": "sc-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls;\u003c/p\u003e" + ] + }, + { + "id": "sc-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "sc-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(b)(1)" + } + ], + "parts": [ + { + "id": "sc-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current system and communications protection policy;\u003c/p\u003e" + ] + }, + { + "id": "sc-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current system and communications protection policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(b)(2)" + } + ], + "parts": [ + { + "id": "sc-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current system and communications protection procedures; and\u003c/p\u003e" + ] + }, + { + "id": "sc-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current system and communications protection procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and communications protection responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sc-2", + "class": "SP800-53", + "title": "Application Partitioning", + "props": [ + { + "class": "name", + "value": "SC-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system separates user functionality (including user interface services) from information system management functionality.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical. Organizations implement separation of system management-related functionality from user functionality by using different computers, different central processing units, different instances of operating systems, different network addresses, virtualization techniques, or combinations of these or other methods, as appropriate. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other information system resources. Separation of system and user functionality may include isolating administrative interfaces on different domains and with additional access controls.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-4" + }, + { + "rel": "related", + "href": "#sa-8" + }, + { + "rel": "related", + "href": "#sc-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system separates user functionality (including user interface services) from information system management functionality.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing application partitioning\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSeparation of user functionality from information system management functionality\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-2.1", + "class": "SP800-53-enhancement", + "title": "Interfaces for Non-privileged Users", + "props": [ + { + "class": "name", + "value": "SC-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement ensures that administration options (e.g., administrator privileges) are not available to general users (including prohibiting the use of the grey-out option commonly used to eliminate accessibility to such information). Such restrictions include, for example, not presenting administration options until users establish sessions with administrator privileges.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing application partitioning\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003enon-privileged users of the information system\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSeparation of user functionality from information system management functionality\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-3", + "class": "SP800-53", + "title": "Security Function Isolation", + "props": [ + { + "class": "name", + "value": "SC-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system isolates security functions from nonsecurity functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains). Such isolation controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Information systems implement code separation (i.e., separation of security functions from nonsecurity functions) in a number of ways, including, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that serve to protect the code on disk, and address space protections that protect executing code. Information systems restrict access to security functions through the use of access control mechanisms and by implementing least privilege capabilities. While the ideal is for all of the code within the security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#sa-4" + }, + { + "rel": "related", + "href": "#sa-5" + }, + { + "rel": "related", + "href": "#sa-8" + }, + { + "rel": "related", + "href": "#sa-13" + }, + { + "rel": "related", + "href": "#sc-2" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#sc-39" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system isolates security functions from nonsecurity functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp\u003elist of security functions to be isolated from nonsecurity functions\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSeparation of security functions from nonsecurity functions within the information system\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-3.1", + "class": "SP800-53-enhancement", + "title": "Hardware Separation", + "props": [ + { + "class": "name", + "value": "SC-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system utilizes underlying hardware separation mechanisms to implement security function isolation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnderlying hardware separation mechanisms include, for example, hardware ring architectures, commonly implemented within microprocessors, and hardware-enforced address segmentation used to support logically distinct storage objects with separate attributes (i.e., readable, writeable).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system utilizes underlying hardware separation mechanisms to implement security function isolation.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003ehardware separation mechanisms\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSeparation of security functions from nonsecurity functions within the information system\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-3.2", + "class": "SP800-53-enhancement", + "title": "Access / Flow Control Functions", + "props": [ + { + "class": "name", + "value": "SC-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system isolates security functions enforcing access and information flow control from nonsecurity functions and from other security functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity function isolation occurs as a result of implementation; the functions can still be scanned and monitored. Security functions that are potentially isolated from access and flow control enforcement functions include, for example, auditing, intrusion detection, and anti-virus functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system isolates security functions enforcing: \u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-3.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-3(2)[1]" + } + ], + "prose": [ + "\u003cp\u003eaccess control from nonsecurity functions;\u003c/p\u003e" + ] + }, + { + "id": "sc-3.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-3(2)[2]" + } + ], + "prose": [ + "\u003cp\u003einformation flow control from nonsecurity functions;\u003c/p\u003e" + ] + }, + { + "id": "sc-3.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-3(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eaccess control from other security functions; and\u003c/p\u003e" + ] + }, + { + "id": "sc-3.2_obj_2.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-3(2)[4]" + } + ], + "prose": [ + "\u003cp\u003einformation flow control from other security functions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp\u003elist of critical security functions\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eIsolation of security functions enforcing access and information flow control\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-3.3", + "class": "SP800-53-enhancement", + "title": "Minimize Nonsecurity Functionality", + "props": [ + { + "class": "name", + "value": "SC-3 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization minimizes the number of nonsecurity functions included within the isolation boundary containing security functions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn those instances where it is not feasible to achieve strict isolation of nonsecurity functions from security functions, it is necessary to take actions to minimize the nonsecurity-relevant functions within the security function boundary. Nonsecurity functions contained within the isolation boundary are considered security-relevant because errors or maliciousness in such software, by virtue of being within the boundary, can impact the security functions of organizational information systems. The design objective is that the specific portions of information systems providing information security are of minimal size/complexity. Minimizing the number of nonsecurity functions in the security-relevant components of information systems allows designers and implementers to focus only on those functions which are necessary to provide the desired security capability (typically access enforcement). By minimizing nonsecurity functions within the isolation boundaries, the amount of code that must be trusted to enforce security policies is reduced, thus contributing to understandability.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization implements an information system isolation boundary to minimize the number of nonsecurity functions included within the boundary containing security functions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing an isolation boundary\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-3.4", + "class": "SP800-53-enhancement", + "title": "Module Coupling and Cohesiveness", + "props": [ + { + "class": "name", + "value": "SC-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe reduction in inter-module interactions helps to constrain security functions and to manage complexity. The concepts of coupling and cohesion are important with respect to modularity in software design. Coupling refers to the dependencies that one module has on other modules. Cohesion refers to the relationship between the different functions within a particular module. Good software engineering practices rely on modular decomposition, layering, and minimization to reduce and manage complexity, thus producing software modules that are highly cohesive and loosely coupled.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization implements security functions as largely independent modules that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-3.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-3(4)[1]" + } + ], + "prose": [ + "\u003cp\u003emaximize internal cohesiveness within modules; and\u003c/p\u003e" + ] + }, + { + "id": "sc-3.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-3(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eminimize coupling between modules.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for maximizing internal cohesiveness within modules and minimizing coupling between modules\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing security functions as independent modules\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-3.5", + "class": "SP800-53-enhancement", + "title": "Layered Structures", + "props": [ + { + "class": "name", + "value": "SC-3 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe implementation of layered structures with minimized interactions among security functions and non-looping layers (i.e., lower-layer functions do not depend on higher-layer functions) further enables the isolation of security functions and management of complexity.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization implements security functions as a layered structure:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-3.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-3(5)[1]" + } + ], + "prose": [ + "\u003cp\u003eminimizing interactions between layers of the design; and\u003c/p\u003e" + ] + }, + { + "id": "sc-3.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-3(5)[2]" + } + ], + "prose": [ + "\u003cp\u003eavoiding any dependence by lower layers on the functionality or correctness of higher layers.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security function isolation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for implementing security functions as a layered structure that minimizes interactions between layers and avoids dependence by lower layers on functionality/correctness of higher layers\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing security functions as a layered structure\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-4", + "class": "SP800-53", + "title": "Information in Shared Resources", + "props": [ + { + "class": "name", + "value": "SC-4" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system prevents unauthorized and unintended information transfer via shared system resources.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control prevents information, including encrypted representations of information, produced by the actions of prior users/roles (or the actions of processes acting on behalf of prior users/roles) from being available to any current users/roles (or current processes) that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those resources have been released back to information systems. The control of information in shared resources is also commonly referred to as object reuse and residual information protection. This control does not address: (i) information remanence which refers to residual representation of data that has been nominally erased or removed; (ii) covert channels (including storage and/or timing channels) where shared resources are manipulated to violate information flow restrictions; or (iii) components within information systems for which there are only single users/roles.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#mp-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system prevents unauthorized and unintended information transfer via shared system resources.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information protection in shared system resources\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms preventing unauthorized and unintended transfer of information via shared system resources\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-4.1", + "class": "SP800-53-enhancement", + "title": "Security Levels", + "links": [ + { + "rel": "related", + "href": "#sc-4" + } + ], + "props": [ + { + "class": "name", + "value": "SC-4 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-4\u003c/i\u003e \u003ci\u003eIncorporated into SC-4\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-4.2", + "class": "SP800-53-enhancement", + "title": "Periods Processing", + "params": [ + { + "id": "sc-4.2_prm_1", + "label": "organization-defined procedures" + } + ], + "props": [ + { + "class": "name", + "value": "SC-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system prevents unauthorized information transfer via shared resources in accordance with \u003cinsert param-id=\"sc-4.2_prm_1\"/\u003e when system processing explicitly switches between different information classification levels or security categories.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies when there are explicit changes in information processing levels during information system operations, for example, during multilevel processing and periods processing with information at different classification levels or security categories. Organization-defined procedures may include, for example, approved sanitization processes for electronically stored information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-4.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-4(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines procedures to be employed to ensure unauthorized information transfer via shared resources is prevented when system processing explicitly switches between different information classification levels or security categories; and\u003c/p\u003e" + ] + }, + { + "id": "sc-4.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-4(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system prevents unauthorized information transfer via shared resources in accordance with organization-defined procedures when system processing explicitly switches between different information classification levels or security categories.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information protection in shared system resources\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms preventing unauthorized transfer of information via shared system resources\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-5", + "class": "SP800-53", + "title": "Denial of Service Protection", + "params": [ + { + "id": "sc-5_prm_1", + "label": "organization-defined types of denial of service attacks or references to sources for such information" + }, + { + "id": "sc-5_prm_2", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system protects against or limits the effects of the following types of denial of service attacks: \u003cinsert param-id=\"sc-5_prm_1\"/\u003e by employing \u003cinsert param-id=\"sc-5_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect information system components on internal organizational networks from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may also reduce the susceptibility to denial of service attacks.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-6" + }, + { + "rel": "related", + "href": "#sc-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-5_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-5[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines types of denial of service attacks or reference to source of such information for the information system to protect against or limit the effects;\u003c/p\u003e" + ] + }, + { + "id": "sc-5_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-5[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security safeguards to be employed by the information system to protect against or limit the effects of organization-defined types of denial of service attacks; and\u003c/p\u003e" + ] + }, + { + "id": "sc-5_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-5[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system protects against or limits the effects of the organization-defined denial or service attacks (or reference to source for such information) by employing organization-defined security safeguards.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing denial of service protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003elist of denial of services attacks requiring employment of security safeguards to protect against or limit effects of such attacks\u003c/p\u003e", + "\u003cp\u003elist of security safeguards protecting against or limiting the effects of denial of service attacks\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms protecting against or limiting the effects of denial of service attacks\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-5.1", + "class": "SP800-53-enhancement", + "title": "Restrict Internal Users", + "params": [ + { + "id": "sc-5.1_prm_1", + "label": "organization-defined denial of service attacks" + } + ], + "props": [ + { + "class": "name", + "value": "SC-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system restricts the ability of individuals to launch \u003cinsert param-id=\"sc-5.1_prm_1\"/\u003e against other information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRestricting the ability of individuals to launch denial of service attacks requires that the mechanisms used for such attacks are unavailable. Individuals of concern can include, for example, hostile insiders or external adversaries that have successfully breached the information system and are using the system as a platform to launch cyber attacks on third parties. Organizations can restrict the ability of individuals to connect and transmit arbitrary information on the transport medium (i.e., network, wireless spectrum). Organizations can also limit the ability of individuals to use excessive information system resources. Protection against individuals having the ability to launch denial of service attacks may be implemented on specific information systems or on boundary devices prohibiting egress to potential target systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-5.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-5(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines denial of service attacks for which the information system is required to restrict the ability of individuals to launch such attacks against other information systems; and\u003c/p\u003e" + ] + }, + { + "id": "sc-5.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-5(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system restricts the ability of individuals to launch organization-defined denial of service attacks against other information systems.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing denial of service protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003elist of denial of service attacks launched by individuals against information systems\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms restricting the ability to launch denial of service attacks against other information systems\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-5.2", + "class": "SP800-53-enhancement", + "title": "Excess Capacity / Bandwidth / Redundancy", + "props": [ + { + "class": "name", + "value": "SC-5 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding denial of service attacks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eManaging excess capacity ensures that sufficient capacity is available to counter flooding attacks. Managing excess capacity may include, for example, establishing selected usage priorities, quotas, or partitioning.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system, to limit the effects of information flooding denial of service attacks, manages:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-5.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-5(2)[1]" + } + ], + "prose": [ + "\u003cp\u003eexcess capacity;\u003c/p\u003e" + ] + }, + { + "id": "sc-5.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-5(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ebandwidth; or\u003c/p\u003e" + ] + }, + { + "id": "sc-5.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-5(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eother redundancy.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing denial of service protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing management of information system bandwidth, capacity, and redundancy to limit the effects of information flooding denial of service attacks\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-5.3", + "class": "SP800-53-enhancement", + "title": "Detection / Monitoring", + "params": [ + { + "id": "sc-5.3_prm_1", + "label": "organization-defined monitoring tools" + }, + { + "id": "sc-5.3_prm_2", + "label": "organization-defined information system resources" + } + ], + "props": [ + { + "class": "name", + "value": "SC-5 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-5.3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-5 (3)(a)" + } + ], + "prose": [ + "\u003cp\u003eEmploys \u003cinsert param-id=\"sc-5.3_prm_1\"/\u003e to detect indicators of denial of service attacks against the information system; and\u003c/p\u003e" + ] + }, + { + "id": "sc-5.3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-5 (3)(b)" + } + ], + "prose": [ + "\u003cp\u003eMonitors \u003cinsert param-id=\"sc-5.3_prm_2\"/\u003e to determine if sufficient resources exist to prevent effective denial of service attacks.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider utilization and capacity of information system resources when managing risk from denial of service due to malicious attacks. Denial of service attacks can originate from external or internal sources. Information system resources sensitive to denial of service include, for example, physical disk storage, memory, and CPU cycles. Common safeguards to prevent denial of service attacks related to storage utilization and capacity include, for example, instituting disk quotas, configuring information systems to automatically alert administrators when specific storage capacity thresholds are reached, using file compression technologies to maximize available storage space, and imposing separate partitions for system and user data.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-5.3_obj_3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-5(3)(a)" + } + ], + "parts": [ + { + "id": "sc-5.3_obj_3.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-5(3)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines monitoring tools to be employed to detect indicators of denial of service attacks against the information system;\u003c/p\u003e" + ] + }, + { + "id": "sc-5.3_obj_3.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-5(3)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined monitoring tools to detect indicators of denial of service attacks against the information system;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-5.3_obj_3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-5(3)(b)" + } + ], + "parts": [ + { + "id": "sc-5.3_obj_3.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-5(3)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system resources to be monitored to determine if sufficient resources exist to prevent effective denial of service attacks; and\u003c/p\u003e" + ] + }, + { + "id": "sc-5.3_obj_3.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-5(3)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003emonitors organization-defined information system resources to determine if sufficient resources exist to prevent effective denial of service attacks.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing denial of service protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with detection and monitoring responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms/tools implementing information system monitoring for denial of service attacks\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-6", + "class": "SP800-53", + "title": "Resource Availability", + "params": [ + { + "id": "sc-6_prm_1", + "label": "organization-defined resources" + }, + { + "id": "sc-6_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "priority" + }, + { + "assignments": null, + "Value": "quota" + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "sc-6_prm_3", + "dependsOn": "sc-6_prm_2", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system protects the availability of resources by allocating \u003cinsert param-id=\"sc-6_prm_1\"/\u003e by \u003cinsert param-id=\"sc-6_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePriority protection helps prevent lower-priority processes from delaying or interfering with the information system servicing any higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to information system components for which there are only single users/roles.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-6_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-6[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines resources to be allocated to protect the availability of resources;\u003c/p\u003e" + ] + }, + { + "id": "sc-6_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-6[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security safeguards to be employed to protect the availability of resources;\u003c/p\u003e" + ] + }, + { + "id": "sc-6_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-6[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system protects the availability of resources by allocating organization-defined resources by one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-6_obj_3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-6[3][a]" + } + ], + "prose": [ + "\u003cp\u003epriority;\u003c/p\u003e" + ] + }, + { + "id": "sc-6_obj_3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-6[3][b]" + } + ], + "prose": [ + "\u003cp\u003equota; and/or\u003c/p\u003e" + ] + }, + { + "id": "sc-6_obj_3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-6[3][c]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined safeguards.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing prioritization of information system resources\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing resource allocation capability\u003c/p\u003e", + "\u003cp\u003esafeguards employed to protect availability of resources\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7", + "class": "SP800-53", + "title": "Boundary Protection", + "params": [ + { + "id": "sc-7_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "physically" + }, + { + "assignments": null, + "Value": "logically" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "SC-7" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-7a." + } + ], + "prose": [ + "\u003cp\u003eMonitors and controls communications at the external boundary of the system and at key internal boundaries within the system;\u003c/p\u003e" + ] + }, + { + "id": "sc-7_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-7b." + } + ], + "prose": [ + "\u003cp\u003eImplements subnetworks for publicly accessible system components that are \u003cinsert param-id=\"sc-7_prm_1\"/\u003e separated from internal organizational networks; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-7c." + } + ], + "prose": [ + "\u003cp\u003eConnects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eManaged interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#ca-3" + }, + { + "rel": "related", + "href": "#cm-7" + }, + { + "rel": "related", + "href": "#cp-8" + }, + { + "rel": "related", + "href": "#ir-4" + }, + { + "rel": "related", + "href": "#ra-3" + }, + { + "rel": "related", + "href": "#sc-5" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(a)" + } + ], + "parts": [ + { + "id": "sc-7_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(a)[1]" + } + ], + "prose": [ + "\u003cp\u003emonitors communications at the external boundary of the information system;\u003c/p\u003e" + ] + }, + { + "id": "sc-7_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(a)[2]" + } + ], + "prose": [ + "\u003cp\u003emonitors communications at key internal boundaries within the system;\u003c/p\u003e" + ] + }, + { + "id": "sc-7_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(a)[3]" + } + ], + "prose": [ + "\u003cp\u003econtrols communications at the external boundary of the information system;\u003c/p\u003e" + ] + }, + { + "id": "sc-7_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(a)[4]" + } + ], + "prose": [ + "\u003cp\u003econtrols communications at key internal boundaries within the system;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-7_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(b)" + } + ], + "prose": [ + "\u003cp\u003eimplements subnetworks for publicly accessible system components that are either:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ephysically separated from internal organizational networks; and/or\u003c/p\u003e" + ] + }, + { + "id": "sc-7_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(b)[2]" + } + ], + "prose": [ + "\u003cp\u003elogically separated from internal organizational networks; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-7_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(c)" + } + ], + "prose": [ + "\u003cp\u003econnects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003elist of key internal boundaries of the information system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003eboundary protection hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eenterprise security architecture documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-7.1", + "class": "SP800-53-enhancement", + "title": "Physically Separated Subnetworks", + "links": [ + { + "rel": "related", + "href": "#sc-7" + } + ], + "props": [ + { + "class": "name", + "value": "SC-7 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-7\u003c/i\u003e \u003ci\u003eIncorporated into SC-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-7.2", + "class": "SP800-53-enhancement", + "title": "Public Access", + "links": [ + { + "rel": "related", + "href": "#sc-7" + } + ], + "props": [ + { + "class": "name", + "value": "SC-7 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-7\u003c/i\u003e \u003ci\u003eIncorporated into SC-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-7.3", + "class": "SP800-53-enhancement", + "title": "Access Points", + "props": [ + { + "class": "name", + "value": "SC-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization limits the number of external network connections to the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLimiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection (TIC) initiative is an example of limiting the number of external network connections.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization limits the number of external network connections to the information system.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003eboundary protection hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ecommunications and network traffic monitoring logs\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms limiting the number of external network connections to the information system\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.4", + "class": "SP800-53-enhancement", + "title": "External Telecommunications Services", + "params": [ + { + "id": "sc-7.4_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SC-7 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-7 (4)(a)" + } + ], + "prose": [ + "\u003cp\u003eImplements a managed interface for each external telecommunication service;\u003c/p\u003e" + ] + }, + { + "id": "sc-7.4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-7 (4)(b)" + } + ], + "prose": [ + "\u003cp\u003eEstablishes a traffic flow policy for each managed interface;\u003c/p\u003e" + ] + }, + { + "id": "sc-7.4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-7 (4)(c)" + } + ], + "prose": [ + "\u003cp\u003eProtects the confidentiality and integrity of the information being transmitted across each interface;\u003c/p\u003e" + ] + }, + { + "id": "sc-7.4_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-7 (4)(d)" + } + ], + "prose": [ + "\u003cp\u003eDocuments each exception to the traffic flow policy with a supporting mission/business need and duration of that need; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.4_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-7 (4)(e)" + } + ], + "prose": [ + "\u003cp\u003eReviews exceptions to the traffic flow policy \u003cinsert param-id=\"sc-7.4_prm_1\"/\u003e and removes exceptions that are no longer supported by an explicit mission/business need.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#sc-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.4_obj_4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(4)(a)" + } + ], + "prose": [ + "\u003cp\u003eimplements a managed interface for each external telecommunication service;\u003c/p\u003e" + ] + }, + { + "id": "sc-7.4_obj_4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(4)(b)" + } + ], + "prose": [ + "\u003cp\u003eestablishes a traffic flow policy for each managed interface;\u003c/p\u003e" + ] + }, + { + "id": "sc-7.4_obj_4.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(4)(c)" + } + ], + "prose": [ + "\u003cp\u003eprotects the confidentiality and integrity of the information being transmitted across each interface;\u003c/p\u003e" + ] + }, + { + "id": "sc-7.4_obj_4.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(4)(d)" + } + ], + "prose": [ + "\u003cp\u003edocuments each exception to the traffic flow policy with:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.4_obj_4.d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(4)(d)[1]" + } + ], + "prose": [ + "\u003cp\u003ea supporting mission/business need;\u003c/p\u003e" + ] + }, + { + "id": "sc-7.4_obj_4.d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(4)(d)[2]" + } + ], + "prose": [ + "\u003cp\u003eduration of that need;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-7.4_obj_4.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(4)(e)" + } + ], + "parts": [ + { + "id": "sc-7.4_obj_4.e.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(4)(e)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to review exceptions to traffic flow policy;\u003c/p\u003e" + ] + }, + { + "id": "sc-7.4_obj_4.e.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(4)(e)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews exceptions to the traffic flow policy with the organization-defined frequency; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.4_obj_4.e.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(4)(e)[3]" + } + ], + "prose": [ + "\u003cp\u003eremoves traffic flow policy exceptions that are no longer supported by an explicit mission/business need\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003etraffic flow policy\u003c/p\u003e", + "\u003cp\u003einformation flow control policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system security architecture\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003eboundary protection hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system architecture and configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of traffic flow policy exceptions\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for documenting and reviewing exceptions to the traffic flow policy\u003c/p\u003e", + "\u003cp\u003eorganizational processes for removing exceptions to the traffic flow policy\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp\u003emanaged interfaces implementing traffic flow policy\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.5", + "class": "SP800-53-enhancement", + "title": "Deny by Default / Allow by Exception", + "props": [ + { + "class": "name", + "value": "SC-7 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system at managed interfaces denies network communications traffic by default and allows network communications traffic by exception (i.e., deny all, permit by exception).\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to both inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those connections which are essential and approved are allowed.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system, at managed interfaces:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edenies network traffic by default; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(5)[2]" + } + ], + "prose": [ + "\u003cp\u003eallows network traffic by exception.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing traffic management at managed interfaces\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.6", + "class": "SP800-53-enhancement", + "title": "Response to Recognized Failures", + "links": [ + { + "rel": "related", + "href": "#sc-7.18" + } + ], + "props": [ + { + "class": "name", + "value": "SC-7 (6)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-7 (18)\u003c/i\u003e \u003ci\u003eIncorporated into SC-7 (18)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-7.7", + "class": "SP800-53-enhancement", + "title": "Prevent Split Tunneling for Remote Devices", + "props": [ + { + "class": "name", + "value": "SC-7 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is implemented within remote devices (e.g., notebook computers) through configuration settings to disable split tunneling in those devices, and by preventing those configuration settings from being readily configurable by users. This control enhancement is implemented within the information system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local information system resources such as printers/file servers. However, split tunneling would in effect allow unauthorized external connections, making the system more vulnerable to attack and to exfiltration of organizational information. The use of VPNs for remote connections, when adequately provisioned with appropriate security controls, may provide the organization with sufficient assurance that it can effectively treat such connections as non-remote connections from the confidentiality and integrity perspective. VPNs thus provide a means for allowing non-remote communications paths from remote devices. The use of an adequately provisioned VPN does not eliminate the need for preventing split tunneling.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting/restricting non-remote connections\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.8", + "class": "SP800-53-enhancement", + "title": "Route Traffic to Authenticated Proxy Servers", + "params": [ + { + "id": "sc-7.8_prm_1", + "label": "organization-defined internal communications traffic" + }, + { + "id": "sc-7.8_prm_2", + "label": "organization-defined external networks" + } + ], + "props": [ + { + "class": "name", + "value": "SC-7 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system routes \u003cinsert param-id=\"sc-7.8_prm_1\"/\u003e to \u003cinsert param-id=\"sc-7.8_prm_2\"/\u003e through authenticated proxy servers at managed interfaces.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eExternal networks are networks outside of organizational control. A proxy server is a server (i.e., information system or application) that acts as an intermediary for clients requesting information system resources (e.g., files, connections, web pages, or services) from other organizational servers. Client requests established through an initial connection to the proxy server are evaluated to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers support logging individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#au-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.8_obj_8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(8)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines internal communications traffic to be routed to external networks;\u003c/p\u003e" + ] + }, + { + "id": "sc-7.8_obj_8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(8)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines external networks to which organization-defined internal communications traffic is to be routed; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.8_obj_8.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(8)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system routes organization-defined internal communications traffic to organization-defined external networks through authenticated proxy servers at managed interfaces.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing traffic management through authenticated proxy servers at managed interfaces\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.9", + "class": "SP800-53-enhancement", + "title": "Restrict Threatening Outgoing Communications Traffic", + "props": [ + { + "class": "name", + "value": "SC-7 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.9_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-7 (9)(a)" + } + ], + "prose": [ + "\u003cp\u003eDetects and denies outgoing communications traffic posing a threat to external information systems; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.9_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-7 (9)(b)" + } + ], + "prose": [ + "\u003cp\u003eAudits the identity of internal users associated with denied communications.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetecting outgoing communications traffic from internal actions that may pose threats to external information systems is sometimes termed extrusion detection. Extrusion detection at information system boundaries as part of managed interfaces includes the analysis of incoming and outgoing communications traffic searching for indications of internal threats to the security of external systems. Such threats include, for example, traffic indicative of denial of service attacks and traffic containing malicious code.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#sc-38" + }, + { + "rel": "related", + "href": "#sc-44" + }, + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.9_obj_9.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(9)(a)" + } + ], + "parts": [ + { + "id": "sc-7.9_obj_9.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(9)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edetects outgoing communications traffic posing a threat to external information systems; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.9_obj_9.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(9)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edenies outgoing communications traffic posing a threat to external information systems; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-7.9_obj_9.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(9)(b)" + } + ], + "prose": [ + "\u003cp\u003eaudits the identity of internal users associated with denied communications.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing detection and denial of threatening outgoing communications traffic\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing auditing of outgoing communications traffic\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.10", + "class": "SP800-53-enhancement", + "title": "Prevent Unauthorized Exfiltration", + "props": [ + { + "class": "name", + "value": "SC-7 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization prevents the unauthorized exfiltration of information across managed interfaces.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSafeguards implemented by organizations to prevent unauthorized exfiltration of information from information systems include, for example: (i) strict adherence to protocol formats; (ii) monitoring for beaconing from information systems; (iii) monitoring for steganography; (iv) disconnecting external network interfaces except when explicitly needed; (v) disassembling and reassembling packet headers; and (vi) employing traffic profile analysis to detect deviations from the volume/types of traffic expected within organizations or call backs to command and control centers. Devices enforcing strict adherence to protocol formats include, for example, deep packet inspection firewalls and XML gateways. These devices verify adherence to protocol formats and specification at the application layer and serve to identify vulnerabilities that cannot be detected by devices operating at the network or transport layers. This control enhancement is closely associated with cross-domain solutions and system guards enforcing information flow requirements.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization prevents the unauthorized exfiltration of information across managed interfaces.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing boundary protection capability\u003c/p\u003e", + "\u003cp\u003epreventing unauthorized exfiltration of information across managed interfaces\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.11", + "class": "SP800-53-enhancement", + "title": "Restrict Incoming Communications Traffic", + "params": [ + { + "id": "sc-7.11_prm_1", + "label": "organization-defined authorized sources" + }, + { + "id": "sc-7.11_prm_2", + "label": "organization-defined authorized destinations" + } + ], + "props": [ + { + "class": "name", + "value": "SC-7 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system only allows incoming communications from \u003cinsert param-id=\"sc-7.11_prm_1\"/\u003e to be routed to \u003cinsert param-id=\"sc-7.11_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement provides determinations that source and destination address pairs represent authorized/allowed communications. Such determinations can be based on several factors including, for example, the presence of source/destination address pairs in lists of authorized/allowed communications, the absence of address pairs in lists of unauthorized/disallowed pairs, or meeting more general rules for authorized/allowed source/destination pairs.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.11_obj_11.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(11)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines internal communications traffic to be routed to external networks;\u003c/p\u003e" + ] + }, + { + "id": "sc-7.11_obj_11.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(11)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines authorized destinations only to which that incoming communications from organization-defined authorized sources may be routed; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.11_obj_11.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(11)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system only allows incoming communications from organization-defined authorized sources to be routed to organization-defined authorized destinations.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing boundary protection capabilities with respect to source/destination address pairs\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.12", + "class": "SP800-53-enhancement", + "title": "Host-based Protection", + "params": [ + { + "id": "sc-7.12_prm_1", + "label": "organization-defined host-based boundary protection mechanisms" + }, + { + "id": "sc-7.12_prm_2", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-7 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements \u003cinsert param-id=\"sc-7.12_prm_1\"/\u003e at \u003cinsert param-id=\"sc-7.12_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHost-based boundary protection mechanisms include, for example, host-based firewalls. Information system components employing host-based boundary protection mechanisms include, for example, servers, workstations, and mobile devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.12_obj_12.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(12)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines host-based boundary protection mechanisms;\u003c/p\u003e" + ] + }, + { + "id": "sc-7.12_obj_12.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(12)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components where organization-defined host-based boundary protection mechanisms are to be implemented; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.12_obj_12.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(12)[3]" + } + ], + "prose": [ + "\u003cp\u003eimplements organization-defined host-based boundary protection mechanisms at organization-defined information system components.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003eboundary protection hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e", + "\u003cp\u003einformation system users\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing host-based boundary protection capabilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.13", + "class": "SP800-53-enhancement", + "title": "Isolation of Security Tools / Mechanisms / Support Components", + "params": [ + { + "id": "sc-7.13_prm_1", + "label": "organization-defined information security tools, mechanisms, and support components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-7 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization isolates \u003cinsert param-id=\"sc-7.13_prm_1\"/\u003e from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePhysically separate subnetworks with managed interfaces are useful, for example, in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques of organizations.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-8" + }, + { + "rel": "related", + "href": "#sc-2" + }, + { + "rel": "related", + "href": "#sc-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.13_obj_13.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(13)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information security tools, mechanisms, and support components to be isolated from other internal information system components; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.13_obj_13.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(13)[2]" + } + ], + "prose": [ + "\u003cp\u003eisolates organization-defined information security tools, mechanisms, and support components from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of security tools and support components to be isolated from other internal information system components\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing isolation of information security tools, mechanisms, and support components\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.14", + "class": "SP800-53-enhancement", + "title": "Protects Against Unauthorized Physical Connections", + "params": [ + { + "id": "sc-7.14_prm_1", + "label": "organization-defined managed interfaces" + } + ], + "props": [ + { + "class": "name", + "value": "SC-7 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization protects against unauthorized physical connections at \u003cinsert param-id=\"sc-7.14_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems operating at different security categories or classification levels may share common physical and environmental controls, since the systems may share space within organizational facilities. In practice, it is possible that these separate information systems may share common equipment rooms, wiring closets, and cable distribution paths. Protection against unauthorized physical connections can be achieved, for example, by employing clearly identified and physically separated cable trays, connection frames, and patch panels for each side of managed interfaces with physical access controls enforcing limited authorized access to these items.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pe-4" + }, + { + "rel": "related", + "href": "#pe-19" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.14_obj_14.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(14)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines managed interfaces to be protected against unauthorized physical connections; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.14_obj_14.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(14)[2]" + } + ], + "prose": [ + "\u003cp\u003eprotects against unauthorized physical connections at organization-defined managed interfaces.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003efacility communications and wiring diagram\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing protection against unauthorized physical connections\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.15", + "class": "SP800-53-enhancement", + "title": "Route Privileged Network Accesses", + "props": [ + { + "class": "name", + "value": "SC-7 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system routes all networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system routes all networked, privileged accesses through a dedicated, managed interface for the purposes of:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.15_obj_15.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(15)[1]" + } + ], + "prose": [ + "\u003cp\u003eaccess control; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.15_obj_15.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(15)[2]" + } + ], + "prose": [ + "\u003cp\u003eauditing.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eaudit logs\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing the routing of networked, privileged access through dedicated managed interfaces\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.16", + "class": "SP800-53-enhancement", + "title": "Prevent Discovery of Components / Devices", + "props": [ + { + "class": "name", + "value": "SC-7 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system prevents discovery of specific system components composing a managed interface.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects network addresses of information system components that are part of managed interfaces from discovery through common tools and techniques used to identify devices on networks. Network addresses are not available for discovery (e.g., network address not published or entered in domain name systems), requiring prior knowledge for access. Another obfuscation technique is to periodically change network addresses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system prevents discovery of specific system components composing a managed interface.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing the prevention of discovery of system components at managed interfaces\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.17", + "class": "SP800-53-enhancement", + "title": "Automated Enforcement of Protocol Formats", + "props": [ + { + "class": "name", + "value": "SC-7 (17)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system enforces adherence to protocol formats.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system components that enforce protocol formats include, for example, deep packet inspection firewalls and XML gateways. Such system components verify adherence to protocol formats/specifications (e.g., IEEE) at the application layer and identify significant vulnerabilities that cannot be detected by devices operating at the network or transport layers.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system enforces adherence to protocol formats.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing enforcement of adherence to protocol formats\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.18", + "class": "SP800-53-enhancement", + "title": "Fail Secure", + "props": [ + { + "class": "name", + "value": "SC-7 (18)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system fails securely in the event of an operational failure of a boundary protection device.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFail secure is a condition achieved by employing information system mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces (e.g., routers, firewalls, guards, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones), information systems do not enter into unsecure states where intended security properties no longer hold. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#sc-24" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system fails securely in the event of an operational failure of a boundary protection device.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing secure failure\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.19", + "class": "SP800-53-enhancement", + "title": "Blocks Communication from Non-organizationally Configured Hosts", + "params": [ + { + "id": "sc-7.19_prm_1", + "label": "organization-defined communication clients" + } + ], + "props": [ + { + "class": "name", + "value": "SC-7 (19)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system blocks both inbound and outbound communications traffic between \u003cinsert param-id=\"sc-7.19_prm_1\"/\u003e that are independently configured by end users and external service providers.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCommunication clients independently configured by end users and external service providers include, for example, instant messaging clients. Traffic blocking does not apply to communication clients that are configured by organizations to perform authorized functions.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.19_obj_19.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(19)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines communication clients that are independently configured by end users and external service providers; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.19_obj_19.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(19)[2]" + } + ], + "prose": [ + "\u003cp\u003eblocks, between organization-defined communication clients that are independently configured by end users and external service providers,:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.19_obj_19.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(19)[2][a]" + } + ], + "prose": [ + "\u003cp\u003einbound communications traffic; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.19_obj_19.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(19)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eoutbound communications traffic.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of communication clients independently configured by end users and external service providers\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing the blocking of inbound and outbound communications traffic between communication clients independently configured by end users and external service providers\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.20", + "class": "SP800-53-enhancement", + "title": "Dynamic Isolation / Segregation", + "params": [ + { + "id": "sc-7.20_prm_1", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-7 (20)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides the capability to dynamically isolate/segregate \u003cinsert param-id=\"sc-7.20_prm_1\"/\u003e from other components of the system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe capability to dynamically isolate or segregate certain internal components of organizational information systems is useful when it is necessary to partition or separate certain components of dubious origin from those components possessing greater trustworthiness. Component isolation reduces the attack surface of organizational information systems. Isolation of selected information system components is also a means of limiting the damage from successful cyber attacks when those attacks occur.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.20_obj_20.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(20)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information system components to be dynamically isolated/segregated from other components of the system; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.20_obj_20.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(20)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides the capability to dynamically isolate/segregate organization-defined information system components from other components of the system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of information system components to be dynamically isolated/segregated from other components of the system\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing the capability to dynamically isolate/segregate information system components\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.21", + "class": "SP800-53-enhancement", + "title": "Isolation of Information System Components", + "params": [ + { + "id": "sc-7.21_prm_1", + "label": "organization-defined information system components" + }, + { + "id": "sc-7.21_prm_2", + "label": "organization-defined missions and/or business functions" + } + ], + "props": [ + { + "class": "name", + "value": "SC-7 (21)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs boundary protection mechanisms to separate \u003cinsert param-id=\"sc-7.21_prm_1\"/\u003e supporting \u003cinsert param-id=\"sc-7.21_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations can isolate information system components performing different missions and/or business functions. Such isolation limits unauthorized information flows among system components and also provides the opportunity to deploy greater levels of protection for selected components. Separating system components with boundary protection mechanisms provides the capability for increased protection of individual components and to more effectively control information flows between those components. This type of enhanced protection limits the potential harm from cyber attacks and errors. The degree of separation provided varies depending upon the mechanisms chosen. Boundary protection mechanisms include, for example, routers, gateways, and firewalls separating system components into physically separate networks or subnetworks, cross-domain devices separating subnetworks, virtualization techniques, and encrypting information flows among system components using distinct encryption keys.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-9" + }, + { + "rel": "related", + "href": "#sc-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-7.21_obj_21.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(21)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components to be separated by boundary protection mechanisms;\u003c/p\u003e" + ] + }, + { + "id": "sc-7.21_obj_21.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(21)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines missions and/or business functions to be supported by organization-defined information system components separated by boundary protection mechanisms; and\u003c/p\u003e" + ] + }, + { + "id": "sc-7.21_obj_21.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-7(21)[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys boundary protection mechanisms to separate organization-defined information system components supporting organization-defined missions and/or business functions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing the capability to separate information system components supporting organizational missions and/or business functions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.22", + "class": "SP800-53-enhancement", + "title": "Separate Subnets for Connecting to Different Security Domains", + "props": [ + { + "class": "name", + "value": "SC-7 (22)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDecomposition of information systems into subnets helps to provide the appropriate level of protection for network connections to different security domains containing information with different security categories or classification levels.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system implements separate network addresses (i.e., different subnets) to connect to systems in different security domains.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing separate network addresses/different subnets\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-7.23", + "class": "SP800-53-enhancement", + "title": "Disable Sender Feedback On Protocol Validation Failure", + "props": [ + { + "class": "name", + "value": "SC-7 (23)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system disables feedback to senders on protocol format validation failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDisabling feedback to senders when there is a failure in protocol validation format prevents adversaries from obtaining information which would otherwise be unavailable.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system disables feedback to senders on protocol format validation failure.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing boundary protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with boundary protection responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing the disabling of feedback to senders on protocol format validation failure\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sc-8", + "class": "SP800-53", + "title": "Transmission Confidentiality and Integrity", + "params": [ + { + "id": "sc-8_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "confidentiality" + }, + { + "assignments": null, + "Value": "integrity" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "SC-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system protects the \u003cinsert param-id=\"sc-8_prm_1\"/\u003e of transmitted information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to both internal and external networks and all types of information system components from which information can be transmitted (e.g., servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication paths outside the physical protection of a controlled boundary are exposed to the possibility of interception and modification. Protecting the confidentiality and/or integrity of organizational information can be accomplished by physical means (e.g., by employing protected distribution systems) or by logical means (e.g., employing encryption techniques). Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services (i.e., services which can be highly specialized to individual customer needs), may find it difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality/integrity. In such situations, organizations determine what types of confidentiality/integrity services are available in standard, commercial telecommunication service packages. If it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, organizations implement appropriate compensating security controls or explicitly accept the additional risk.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#pe-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system protects one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-8_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8[1]" + } + ], + "prose": [ + "\u003cp\u003econfidentiality of transmitted information; and/or\u003c/p\u003e" + ] + }, + { + "id": "sc-8_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8[2]" + } + ], + "prose": [ + "\u003cp\u003eintegrity of transmitted information.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing transmission confidentiality and/or integrity\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-8.1", + "class": "SP800-53-enhancement", + "title": "Cryptographic or Alternate Physical Protection", + "params": [ + { + "id": "sc-8.1_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "prevent unauthorized disclosure of information" + }, + { + "assignments": null, + "Value": "detect changes to information" + } + ] + } + }, + { + "id": "sc-8.1_prm_2", + "label": "organization-defined alternative physical safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements cryptographic mechanisms to \u003cinsert param-id=\"sc-8.1_prm_1\"/\u003e during transmission unless otherwise protected by \u003cinsert param-id=\"sc-8.1_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEncrypting information for transmission protects information from unauthorized disclosure and modification. Cryptographic mechanisms implemented to protect information integrity include, for example, cryptographic hash functions which have common application in digital signatures, checksums, and message authentication codes. Alternative physical security safeguards include, for example, protected distribution systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-8.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines physical safeguards to be implemented to protect information during transmission when cryptographic mechanisms are not implemented; and\u003c/p\u003e" + ] + }, + { + "id": "sc-8.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements cryptographic mechanisms to do one or more of the following during transmission unless otherwise protected by organization-defined alternative physical safeguards:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-8.1_obj_1.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8(1)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eprevent unauthorized disclosure of information; and/or\u003c/p\u003e" + ] + }, + { + "id": "sc-8.1_obj_1.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8(1)[2][b]" + } + ], + "prose": [ + "\u003cp\u003edetect changes to information.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eCryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing alternative physical safeguards\u003c/p\u003e", + "\u003cp\u003eorganizational processes for defining and implementing alternative physical safeguards\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-8.2", + "class": "SP800-53-enhancement", + "title": "Pre / Post Transmission Handling", + "params": [ + { + "id": "sc-8.2_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "confidentiality" + }, + { + "assignments": null, + "Value": "integrity" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "SC-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system maintains the \u003cinsert param-id=\"sc-8.2_prm_1\"/\u003e of information during preparation for transmission and during reception.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation can be either unintentionally or maliciously disclosed or modified during preparation for transmission or during reception including, for example, during aggregation, at protocol transformation points, and during packing/unpacking. These unauthorized disclosures or modifications compromise the confidentiality or integrity of the information.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-10" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system maintains one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-8.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8(2)[1]" + } + ], + "prose": [ + "\u003cp\u003econfidentiality of information during preparation for transmission;\u003c/p\u003e" + ] + }, + { + "id": "sc-8.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8(2)[2]" + } + ], + "prose": [ + "\u003cp\u003econfidentiality of information during reception; and/or\u003c/p\u003e" + ] + }, + { + "id": "sc-8.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eintegrity of information during preparation for transmission;\u003c/p\u003e" + ] + }, + { + "id": "sc-8.2_obj_2.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8(2)[4]" + } + ], + "prose": [ + "\u003cp\u003eintegrity of information during reception.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing transmission confidentiality and/or integrity\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-8.3", + "class": "SP800-53-enhancement", + "title": "Cryptographic Protection for Message Externals", + "params": [ + { + "id": "sc-8.3_prm_1", + "label": "organization-defined alternative physical safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements cryptographic mechanisms to protect message externals unless otherwise protected by \u003cinsert param-id=\"sc-8.3_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses protection against unauthorized disclosure of information. Message externals include, for example, message headers/routing information. This control enhancement prevents the exploitation of message externals and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Header/routing information is sometimes transmitted unencrypted because the information is not properly identified by organizations as having significant value or because encrypting the information can result in lower network performance and/or higher costs. Alternative physical safeguards include, for example, protected distribution systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-8.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8(3)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines alternative physical safeguards to be implemented to protect message externals; and\u003c/p\u003e" + ] + }, + { + "id": "sc-8.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements cryptographic mechanisms to protect message externals unless otherwise protected by organization-defined alternative physical safeguards.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eCryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity for message externals\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing alternative physical safeguards\u003c/p\u003e", + "\u003cp\u003eorganizational processes for defining and implementing alternative physical safeguards\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-8.4", + "class": "SP800-53-enhancement", + "title": "Conceal / Randomize Communications", + "params": [ + { + "id": "sc-8.4_prm_1", + "label": "organization-defined alternative physical safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-8 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements cryptographic mechanisms to conceal or randomize communication patterns unless otherwise protected by \u003cinsert param-id=\"sc-8.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses protection against unauthorized disclosure of information. Communication patterns include, for example, frequency, periods, amount, and predictability. Changes to communications patterns can reveal information having intelligence value especially when combined with other available information related to missions/business functions supported by organizational information systems. This control enhancement prevents the derivation of intelligence based on communications patterns and applies to both internal and external networks or links that may be visible to individuals who are not authorized users. Encrypting the links and transmitting in continuous, fixed/random patterns prevents the derivation of intelligence from the system communications patterns. Alternative physical safeguards include, for example, protected distribution systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-8.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8(4)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines alternative physical safeguards to be implemented to protect against unauthorized disclosure of communication patterns;\u003c/p\u003e" + ] + }, + { + "id": "sc-8.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8(4)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system, unless otherwise protected by organization-defined alternative physical safeguards, implements cryptographic mechanisms to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-8.4_obj_4.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8(4)[2][a]" + } + ], + "prose": [ + "\u003cp\u003econceal communication patterns; or\u003c/p\u003e" + ] + }, + { + "id": "sc-8.4_obj_4.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-8(4)[2][b]" + } + ], + "prose": [ + "\u003cp\u003erandomize communication patterns.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing transmission confidentiality and integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eCryptographic mechanisms supporting and/or implementing concealment or randomization of communications patterns\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing alternative physical safeguards\u003c/p\u003e", + "\u003cp\u003eorganizational processes for defining and implementing alternative physical safeguards\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sc-9", + "class": "SP800-53", + "title": "Transmission Confidentiality", + "links": [ + { + "rel": "related", + "href": "#sc-8" + } + ], + "props": [ + { + "class": "name", + "value": "SC-9" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-8\u003c/i\u003e \u003ci\u003eIncorporated into SC-8\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-10", + "class": "SP800-53", + "title": "Network Disconnect", + "params": [ + { + "id": "sc-10_prm_1", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "SC-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system terminates the network connection associated with a communications session at the end of the session or after \u003cinsert param-id=\"sc-10_prm_1\"/\u003e of inactivity.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. Time periods of inactivity may be established by organizations and include, for example, time periods by type of network access or for specific network accesses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-10_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-10[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines a time period of inactivity after which the information system terminates a network connection associated with a communications session; and\u003c/p\u003e" + ] + }, + { + "id": "sc-10_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-10[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system terminates the network connection associated with a communication session at the end of the session or after the organization-defined time period of inactivity.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing network disconnect\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing network disconnect capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-11", + "class": "SP800-53", + "title": "Trusted Path", + "params": [ + { + "id": "sc-11_prm_1", + "label": "organization-defined security functions to include at a minimum, information system authentication and re-authentication" + } + ], + "props": [ + { + "class": "name", + "value": "SC-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system establishes a trusted communications path between the user and the following security functions of the system: \u003cinsert param-id=\"sc-11_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTrusted paths are mechanisms by which users (through input devices) can communicate directly with security functions of information systems with the requisite assurance to support information security policies. The mechanisms can be activated only by users or the security functions of organizational information systems. User responses via trusted paths are protected from modifications by or disclosure to untrusted applications. Organizations employ trusted paths for high-assurance connections between security functions of information systems and users (e.g., during system logons). Enforcement of trusted communications paths is typically provided via an implementation that meets the reference monitor concept.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-16" + }, + { + "rel": "related", + "href": "#ac-25" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-11_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-11[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security functions of the information system;\u003c/p\u003e" + ] + }, + { + "id": "sc-11_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-11[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization-defined security functions include at a minimum, information system authentication and re-authentication; and\u003c/p\u003e" + ] + }, + { + "id": "sc-11_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-11[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system establishes a trusted communications path between the user and the organization-defined security functions of the system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing trusted communications paths\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eassessment results from independent, testing organizations\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing trusted communications paths\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-11.1", + "class": "SP800-53-enhancement", + "title": "Logical Isolation", + "props": [ + { + "class": "name", + "value": "SC-11 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides a trusted communications path that is logically isolated and distinguishable from other paths.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system provides a trusted communications path that is:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-11.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-11(1)[1]" + } + ], + "prose": [ + "\u003cp\u003elogically isolated; and\u003c/p\u003e" + ] + }, + { + "id": "sc-11.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-11(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edistinguishable from other paths.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing trusted communications paths\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eassessment results from independent, testing organizations\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing trusted communications paths\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-12", + "class": "SP800-53", + "title": "Cryptographic Key Establishment and Management", + "params": [ + { + "id": "sc-12_prm_1", + "label": "organization-defined requirements for key generation, distribution, storage, access, and destruction" + } + ], + "props": [ + { + "class": "name", + "value": "SC-12" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with \u003cinsert param-id=\"sc-12_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance, specifying appropriate options, levels, and parameters. Organizations manage trust stores to ensure that only approved trust anchors are in such trust stores. This includes certificates with visibility external to organizational information systems and certificates related to the internal operations of systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-13" + }, + { + "rel": "related", + "href": "#sc-17" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-12_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-12[1]" + } + ], + "prose": [ + "\u003cp\u003edefines requirements for cryptographic key:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-12_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-12[1][a]" + } + ], + "prose": [ + "\u003cp\u003egeneration;\u003c/p\u003e" + ] + }, + { + "id": "sc-12_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-12[1][b]" + } + ], + "prose": [ + "\u003cp\u003edistribution;\u003c/p\u003e" + ] + }, + { + "id": "sc-12_obj_1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-12[1][c]" + } + ], + "prose": [ + "\u003cp\u003estorage;\u003c/p\u003e" + ] + }, + { + "id": "sc-12_obj_1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-12[1][d]" + } + ], + "prose": [ + "\u003cp\u003eaccess;\u003c/p\u003e" + ] + }, + { + "id": "sc-12_obj_1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-12[1][e]" + } + ], + "prose": [ + "\u003cp\u003edestruction; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-12_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-12[2]" + } + ], + "prose": [ + "\u003cp\u003eestablishes and manages cryptographic keys for required cryptography employed within the information system in accordance with organization-defined requirements for key generation, distribution, storage, access, and destruction.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing cryptographic key establishment and management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003ecryptographic mechanisms\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for cryptographic key establishment and/or management\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing cryptographic key establishment and management\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-12.1", + "class": "SP800-53-enhancement", + "title": "Availability", + "props": [ + { + "class": "name", + "value": "SC-12 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization maintains availability of information in the event of the loss of cryptographic keys by users.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEscrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys (e.g., due to forgotten passphrase).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization maintains availability of information in the event of the loss of cryptographic keys by users.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing cryptographic key establishment, management, and recovery\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for cryptographic key establishment or management\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing cryptographic key establishment and management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-12.2", + "class": "SP800-53-enhancement", + "title": "Symmetric Keys", + "params": [ + { + "id": "sc-12.2_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "NIST FIPS-compliant" + }, + { + "assignments": null, + "Value": "NSA-approved" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "SC-12 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization produces, controls, and distributes symmetric cryptographic keys using \u003cinsert param-id=\"sc-12.2_prm_1\"/\u003e key management technology and processes.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization produces, controls, and distributes symmetric cryptographic keys using one of the following: \u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-12.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-12(2)[1]" + } + ], + "prose": [ + "\u003cp\u003eNIST FIPS-compliant key management technology and processes; or\u003c/p\u003e" + ] + }, + { + "id": "sc-12.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-12(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eNSA-approved key management technology and processes.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing cryptographic key establishment and management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003elist of FIPS validated cryptographic products\u003c/p\u003e", + "\u003cp\u003elist of NSA-approved cryptographic products\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for cryptographic key establishment or management\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing symmetric cryptographic key establishment and management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-12.3", + "class": "SP800-53-enhancement", + "title": "Asymmetric Keys", + "params": [ + { + "id": "sc-12.3_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "NSA-approved key management technology and processes" + }, + { + "assignments": null, + "Value": "approved PKI Class 3 certificates or prepositioned keying material" + }, + { + "assignments": null, + "Value": "approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user’s private key" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "SC-12 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization produces, controls, and distributes asymmetric cryptographic keys using \u003cinsert param-id=\"sc-12.3_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization produces, controls, and distributes asymmetric cryptographic keys using one of the following: \u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-12.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-12(3)[1]" + } + ], + "prose": [ + "\u003cp\u003eNSA-approved key management technology and processes;\u003c/p\u003e" + ] + }, + { + "id": "sc-12.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-12(3)[2]" + } + ], + "prose": [ + "\u003cp\u003eapproved PKI Class 3 certificates or prepositioned keying material; or\u003c/p\u003e" + ] + }, + { + "id": "sc-12.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-12(3)[3]" + } + ], + "prose": [ + "\u003cp\u003eapproved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user’s private key.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing cryptographic key establishment and management\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003elist of NSA-approved cryptographic products\u003c/p\u003e", + "\u003cp\u003elist of approved PKI Class 3 and Class 4 certificates\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for cryptographic key establishment or management\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for PKI certificates\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing asymmetric cryptographic key establishment and management\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-12.4", + "class": "SP800-53-enhancement", + "title": "PKI Certificates", + "links": [ + { + "rel": "related", + "href": "#sc-12" + } + ], + "props": [ + { + "class": "name", + "value": "SC-12 (4)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-12\u003c/i\u003e \u003ci\u003eIncorporated into SC-12\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-12.5", + "class": "SP800-53-enhancement", + "title": "PKI Certificates / Hardware Tokens", + "links": [ + { + "rel": "related", + "href": "#sc-12" + } + ], + "props": [ + { + "class": "name", + "value": "SC-12 (5)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-12\u003c/i\u003e \u003ci\u003eIncorporated into SC-12\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sc-13", + "class": "SP800-53", + "title": "Cryptographic Protection", + "params": [ + { + "id": "sc-13_prm_1", + "label": "organization-defined cryptographic uses and type of cryptography required for each use" + } + ], + "props": [ + { + "class": "name", + "value": "SC-13" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements \u003cinsert param-id=\"sc-13_prm_1\"/\u003e in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptography can be employed to support a variety of security solutions including, for example, the protection of classified and Controlled Unclassified Information, the provision of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances for such information but lack the necessary formal access approvals. Cryptography can also be used to support random number generation and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. This control does not impose any requirements on organizations to use cryptography. However, if cryptography is required based on the selection of other security controls, organizations define each type of cryptographic use and the type of cryptography required (e.g., protection of classified information: NSA-approved cryptography; provision of digital signatures: FIPS-validated cryptography).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-7" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#au-9" + }, + { + "rel": "related", + "href": "#au-10" + }, + { + "rel": "related", + "href": "#cm-11" + }, + { + "rel": "related", + "href": "#cp-9" + }, + { + "rel": "related", + "href": "#ia-3" + }, + { + "rel": "related", + "href": "#ia-7" + }, + { + "rel": "related", + "href": "#ma-4" + }, + { + "rel": "related", + "href": "#mp-2" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#mp-5" + }, + { + "rel": "related", + "href": "#sa-4" + }, + { + "rel": "related", + "href": "#sc-8" + }, + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-28" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-13_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-13[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines cryptographic uses; and\u003c/p\u003e" + ] + }, + { + "id": "sc-13_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-13[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the type of cryptography required for each use; and\u003c/p\u003e" + ] + }, + { + "id": "sc-13_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-13[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements the organization-defined cryptographic uses and type of cryptography required for each use in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing cryptographic protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ecryptographic module validation certificates\u003c/p\u003e", + "\u003cp\u003elist of FIPS validated cryptographic modules\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for cryptographic protection\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing cryptographic protection\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-13.1", + "class": "SP800-53-enhancement", + "title": "Fips-validated Cryptography", + "links": [ + { + "rel": "related", + "href": "#sc-13" + } + ], + "props": [ + { + "class": "name", + "value": "SC-13 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-13\u003c/i\u003e \u003ci\u003eIncorporated into SC-13\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-13.2", + "class": "SP800-53-enhancement", + "title": "Nsa-approved Cryptography", + "links": [ + { + "rel": "related", + "href": "#sc-13" + } + ], + "props": [ + { + "class": "name", + "value": "SC-13 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-13\u003c/i\u003e \u003ci\u003eIncorporated into SC-13\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-13.3", + "class": "SP800-53-enhancement", + "title": "Individuals Without Formal Access Approvals", + "links": [ + { + "rel": "related", + "href": "#sc-13" + } + ], + "props": [ + { + "class": "name", + "value": "SC-13 (3)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-13\u003c/i\u003e \u003ci\u003eIncorporated into SC-13\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-13.4", + "class": "SP800-53-enhancement", + "title": "Digital Signatures", + "links": [ + { + "rel": "related", + "href": "#sc-13" + } + ], + "props": [ + { + "class": "name", + "value": "SC-13 (4)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-13\u003c/i\u003e \u003ci\u003eIncorporated into SC-13\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sc-14", + "class": "SP800-53", + "title": "Public Access Protections", + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-5" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-4" + }, + { + "rel": "related", + "href": "#si-5" + }, + { + "rel": "related", + "href": "#si-7" + }, + { + "rel": "related", + "href": "#si-10" + } + ], + "props": [ + { + "class": "name", + "value": "SC-14" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eCapability provided by AC-2, AC-3, AC-5, AC-6, SI-3, SI-4, SI-5, SI-7, SI-10\u003c/i\u003e \u003ci\u003eCapability provided by AC-2, AC-3, AC-5, AC-6, SI-3, SI-4, SI-5, SI-7, SI-10\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-15", + "class": "SP800-53", + "title": "Collaborative Computing Devices", + "params": [ + { + "id": "sc-15_prm_1", + "label": "organization-defined exceptions where remote activation is to be allowed" + } + ], + "props": [ + { + "class": "name", + "value": "SC-15" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-15_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-15a." + } + ], + "prose": [ + "\u003cp\u003eProhibits remote activation of collaborative computing devices with the following exceptions: \u003cinsert param-id=\"sc-15_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "sc-15_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-15b." + } + ], + "prose": [ + "\u003cp\u003eProvides an explicit indication of use to users physically present at the devices.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCollaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-21" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-15_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-15(a)" + } + ], + "parts": [ + { + "id": "sc-15_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-15(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines exceptions where remote activation of collaborative computing devices is to be allowed;\u003c/p\u003e" + ] + }, + { + "id": "sc-15_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-15(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system prohibits remote activation of collaborative computing devices, except for organization-defined exceptions where remote activation is to be allowed; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-15_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-15(b)" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides an explicit indication of use to users physically present at the devices.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing collaborative computing\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for managing collaborative computing devices\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing management of remote activation of collaborative computing devices\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms providing an indication of use of collaborative computing devices\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-15.1", + "class": "SP800-53-enhancement", + "title": "Physical Disconnect", + "props": [ + { + "class": "name", + "value": "SC-15 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailing to physically disconnect from collaborative computing devices can result in subsequent compromises of organizational information. Providing easy methods to physically disconnect from such devices after a collaborative computing session helps to ensure that participants actually carry out the disconnect activity without having to go through complex and tedious procedures.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system provides physical disconnect of collaborative computing devices in a manner that supports ease of use.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing collaborative computing\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for managing collaborative computing devices\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing physical disconnect of collaborative computing devices\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-15.2", + "class": "SP800-53-enhancement", + "title": "Blocking Inbound / Outbound Communications Traffic", + "links": [ + { + "rel": "related", + "href": "#sc-7" + } + ], + "props": [ + { + "class": "name", + "value": "SC-15 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-7\u003c/i\u003e \u003ci\u003eIncorporated into SC-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-15.3", + "class": "SP800-53-enhancement", + "title": "Disabling / Removal in Secure Work Areas", + "params": [ + { + "id": "sc-15.3_prm_1", + "label": "organization-defined information systems or information system components" + }, + { + "id": "sc-15.3_prm_2", + "label": "organization-defined secure work areas" + } + ], + "props": [ + { + "class": "name", + "value": "SC-15 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization disables or removes collaborative computing devices from \u003cinsert param-id=\"sc-15.3_prm_1\"/\u003e in \u003cinsert param-id=\"sc-15.3_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailing to disable or remove collaborative computing devices from information systems or information system components can result in subsequent compromises of organizational information including, for example, eavesdropping on conversations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-15.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-15(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information systems or information system components from which collaborative computing devices are to be disabled or removed;\u003c/p\u003e" + ] + }, + { + "id": "sc-15.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-15(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines secure work areas where collaborative computing devices are to be disabled or removed from information systems or information system components placed in such work areas; and\u003c/p\u003e" + ] + }, + { + "id": "sc-15.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-15(3)[3]" + } + ], + "prose": [ + "\u003cp\u003edisables or removes collaborative computing devices from organization-defined information systems or information system components in organization-defined secure work areas.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing collaborative computing\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003elist of secure work areas\u003c/p\u003e", + "\u003cp\u003einformation systems or information system components in secured work areas where collaborative computing devices are to be disabled or removed\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for managing collaborative computing devices\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing the capability to disable collaborative computing devices\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-15.4", + "class": "SP800-53-enhancement", + "title": "Explicitly Indicate Current Participants", + "params": [ + { + "id": "sc-15.4_prm_1", + "label": "organization-defined online meetings and teleconferences" + } + ], + "props": [ + { + "class": "name", + "value": "SC-15 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides an explicit indication of current participants in \u003cinsert param-id=\"sc-15.4_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement helps to prevent unauthorized individuals from participating in collaborative computing sessions without the explicit knowledge of other participants.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-15.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-15(4)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines online meetings and teleconferences for which an explicit indication of current participants is to be provided; and\u003c/p\u003e" + ] + }, + { + "id": "sc-15.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-15(4)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides an explicit indication of current participants in organization-defined meetings and teleconferences.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing collaborative computing\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003elist of types of meetings and teleconferences requiring explicit indication of current participants\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for managing collaborative computing devices\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing the capability to indicate participants on collaborative computing devices\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-16", + "class": "SP800-53", + "title": "Transmission of Security Attributes", + "params": [ + { + "id": "sc-16_prm_1", + "label": "organization-defined security attributes" + } + ], + "props": [ + { + "class": "name", + "value": "SC-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system associates \u003cinsert param-id=\"sc-16_prm_1\"/\u003e with information exchanged between information systems and between system components.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity attributes can be explicitly or implicitly associated with the information contained in organizational information systems or system components.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#ac-16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-16_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-16[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security attributes to be associated with information exchanged:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-16_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-16[1][a]" + } + ], + "prose": [ + "\u003cp\u003ebetween information systems;\u003c/p\u003e" + ] + }, + { + "id": "sc-16_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-16[1][b]" + } + ], + "prose": [ + "\u003cp\u003ebetween system components;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-16_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-16[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system associates organization-defined security attributes with information exchanged:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-16_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-16[2][a]" + } + ], + "prose": [ + "\u003cp\u003ebetween information systems; and\u003c/p\u003e" + ] + }, + { + "id": "sc-16_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-16[2][b]" + } + ], + "prose": [ + "\u003cp\u003ebetween system components.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing transmission of security attributes\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing transmission of security attributes between information systems\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-16.1", + "class": "SP800-53-enhancement", + "title": "Integrity Validation", + "props": [ + { + "class": "name", + "value": "SC-16 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system validates the integrity of transmitted security attributes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement ensures that the verification of the integrity of transmitted information includes security attributes.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-10" + }, + { + "rel": "related", + "href": "#sc-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system validates the integrity of transmitted security attributes.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing transmission of security attributes\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing validation of the integrity of transmitted security attributes\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-17", + "class": "SP800-53", + "title": "Public Key Infrastructure Certificates", + "params": [ + { + "id": "sc-17_prm_1", + "label": "organization-defined certificate policy" + } + ], + "props": [ + { + "class": "name", + "value": "SC-17" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization issues public key certificates under an \u003cinsert param-id=\"sc-17_prm_1\"/\u003e or obtains public key certificates from an approved service provider.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor all certificates, organizations manage information system trust stores to ensure only approved trust anchors are in the trust stores. This control addresses both certificates with visibility external to organizational information systems and certificates related to the internal operations of systems, for example, application-specific time services.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-17_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-17[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a certificate policy for issuing public key certificates;\u003c/p\u003e" + ] + }, + { + "id": "sc-17_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-17[2]" + } + ], + "prose": [ + "\u003cp\u003eissues public key certificates:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-17_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-17[2][a]" + } + ], + "prose": [ + "\u003cp\u003eunder an organization-defined certificate policy: or\u003c/p\u003e" + ] + }, + { + "id": "sc-17_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-17[2][b]" + } + ], + "prose": [ + "\u003cp\u003eobtains public key certificates from an approved service provider.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing public key infrastructure certificates\u003c/p\u003e", + "\u003cp\u003epublic key certificate policy or policies\u003c/p\u003e", + "\u003cp\u003epublic key issuing process\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for issuing public key certificates\u003c/p\u003e", + "\u003cp\u003eservice providers\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing the management of public key infrastructure certificates\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sc-18", + "class": "SP800-53", + "title": "Mobile Code", + "props": [ + { + "class": "name", + "value": "SC-18" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-18_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-18a." + } + ], + "prose": [ + "\u003cp\u003eDefines acceptable and unacceptable mobile code and mobile code technologies;\u003c/p\u003e" + ] + }, + { + "id": "sc-18_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-18b." + } + ], + "prose": [ + "\u003cp\u003eEstablishes usage restrictions and implementation guidance for acceptable mobile code and mobile code technologies; and\u003c/p\u003e" + ] + }, + { + "id": "sc-18_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-18c." + } + ], + "prose": [ + "\u003cp\u003eAuthorizes, monitors, and controls the use of mobile code within the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDecisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices (e.g., smart phones). Mobile code policy and procedures address preventing the development, acquisition, or introduction of unacceptable mobile code within organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-12" + }, + { + "rel": "related", + "href": "#cm-2" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#si-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-18_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(a)" + } + ], + "prose": [ + "\u003cp\u003edefines acceptable and unacceptable mobile code and mobile code technologies;\u003c/p\u003e" + ] + }, + { + "id": "sc-18_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(b)" + } + ], + "parts": [ + { + "id": "sc-18_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(b)[1]" + } + ], + "prose": [ + "\u003cp\u003eestablishes usage restrictions for acceptable mobile code and mobile code technologies;\u003c/p\u003e" + ] + }, + { + "id": "sc-18_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eestablishes implementation guidance for acceptable mobile code and mobile code technologies;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-18_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(c)" + } + ], + "parts": [ + { + "id": "sc-18_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(c)[1]" + } + ], + "prose": [ + "\u003cp\u003eauthorizes the use of mobile code within the information system;\u003c/p\u003e" + ] + }, + { + "id": "sc-18_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(c)[2]" + } + ], + "prose": [ + "\u003cp\u003emonitors the use of mobile code within the information system; and\u003c/p\u003e" + ] + }, + { + "id": "sc-18_obj_c.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(c)[3]" + } + ], + "prose": [ + "\u003cp\u003econtrols the use of mobile code within the information system.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing mobile code\u003c/p\u003e", + "\u003cp\u003emobile code usage restrictions, mobile code implementation policy and procedures\u003c/p\u003e", + "\u003cp\u003elist of acceptable mobile code and mobile code technologies\u003c/p\u003e", + "\u003cp\u003elist of unacceptable mobile code and mobile technologies\u003c/p\u003e", + "\u003cp\u003eauthorization records\u003c/p\u003e", + "\u003cp\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for managing mobile code\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational process for controlling, authorizing, monitoring, and restricting mobile code\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the management of mobile code\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the monitoring of mobile code\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-18.1", + "class": "SP800-53-enhancement", + "title": "Identify Unacceptable Code / Take Corrective Actions", + "params": [ + { + "id": "sc-18.1_prm_1", + "label": "organization-defined unacceptable mobile code" + }, + { + "id": "sc-18.1_prm_2", + "label": "organization-defined corrective actions" + } + ], + "props": [ + { + "class": "name", + "value": "SC-18 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system identifies \u003cinsert param-id=\"sc-18.1_prm_1\"/\u003e and takes \u003cinsert param-id=\"sc-18.1_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrective actions when unacceptable mobile code is detected include, for example, blocking, quarantine, or alerting administrators. Blocking includes, for example, preventing transmission of word processing files with embedded macros when such macros have been defined to be unacceptable mobile code.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-18.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines unacceptable mobile code to be identified by the information system;\u003c/p\u003e" + ] + }, + { + "id": "sc-18.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines correctives actions to be taken when the information system identifies organization-defined unacceptable mobile code;\u003c/p\u003e" + ] + }, + { + "id": "sc-18.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(1)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-18.1_obj_1.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(1)[3][a]" + } + ], + "prose": [ + "\u003cp\u003eidentifies organization-defined unacceptable mobile code; and\u003c/p\u003e" + ] + }, + { + "id": "sc-18.1_obj_1.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(1)[3][b]" + } + ], + "prose": [ + "\u003cp\u003etakes organization-defined corrective actions.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing mobile code\u003c/p\u003e", + "\u003cp\u003emobile code usage restrictions, mobile code implementation policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of unacceptable mobile code\u003c/p\u003e", + "\u003cp\u003elist of corrective actions to be taken when unacceptable mobile code is identified\u003c/p\u003e", + "\u003cp\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for managing mobile code\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing mobile code detection, inspection, and corrective capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-18.2", + "class": "SP800-53-enhancement", + "title": "Acquisition / Development / Use", + "params": [ + { + "id": "sc-18.2_prm_1", + "label": "organization-defined mobile code requirements" + } + ], + "props": [ + { + "class": "name", + "value": "SC-18 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that the acquisition, development, and use of mobile code to be deployed in the information system meets \u003cinsert param-id=\"sc-18.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-18.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines requirements for:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-18.2_obj_2.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(2)[1][a]" + } + ], + "prose": [ + "\u003cp\u003ethe acquisition of mobile code;\u003c/p\u003e" + ] + }, + { + "id": "sc-18.2_obj_2.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(2)[1][b]" + } + ], + "prose": [ + "\u003cp\u003ethe development of mobile code;\u003c/p\u003e" + ] + }, + { + "id": "sc-18.2_obj_2.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(2)[1][c]" + } + ], + "prose": [ + "\u003cp\u003ethe use of mobile code; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-18.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that the acquisition, development, and use of mobile code to be deployed in the information system meets organization-defined mobile code requirements.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing mobile code\u003c/p\u003e", + "\u003cp\u003emobile code requirements\u003c/p\u003e", + "\u003cp\u003emobile code usage restrictions, mobile code implementation policy and procedures\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for information system, system component, or information system service\u003c/p\u003e", + "\u003cp\u003esystem development life cycle documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for managing mobile code\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with acquisition and contracting responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for the acquisition, development, and use of mobile code\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-18.3", + "class": "SP800-53-enhancement", + "title": "Prevent Downloading / Execution", + "params": [ + { + "id": "sc-18.3_prm_1", + "label": "organization-defined unacceptable mobile code" + } + ], + "props": [ + { + "class": "name", + "value": "SC-18 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system prevents the download and execution of \u003cinsert param-id=\"sc-18.3_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-18.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(3)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines unacceptable mobile code to be prevented from downloading and execution;\u003c/p\u003e" + ] + }, + { + "id": "sc-18.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system prevents the:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-18.3_obj_3.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(3)[2][a]" + } + ], + "prose": [ + "\u003cp\u003edownload of organization-defined unacceptable mobile code; and\u003c/p\u003e" + ] + }, + { + "id": "sc-18.3_obj_3.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(3)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eexecution of organization-defined unacceptable mobile code.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing mobile code\u003c/p\u003e", + "\u003cp\u003emobile code usage restrictions, mobile code implementation policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for managing mobile code\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms preventing download and execution of unacceptable mobile code\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-18.4", + "class": "SP800-53-enhancement", + "title": "Prevent Automatic Execution", + "params": [ + { + "id": "sc-18.4_prm_1", + "label": "organization-defined software applications" + }, + { + "id": "sc-18.4_prm_2", + "label": "organization-defined actions" + } + ], + "props": [ + { + "class": "name", + "value": "SC-18 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system prevents the automatic execution of mobile code in \u003cinsert param-id=\"sc-18.4_prm_1\"/\u003e and enforces \u003cinsert param-id=\"sc-18.4_prm_2\"/\u003e prior to executing the code.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eActions enforced before executing mobile code, include, for example, prompting users prior to opening electronic mail attachments. Preventing automatic execution of mobile code includes, for example, disabling auto execute features on information system components employing portable storage devices such as Compact Disks (CDs), Digital Video Disks (DVDs), and Universal Serial Bus (USB) devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-18.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(4)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines software applications in which the automatic execution of mobile code is to be prohibited;\u003c/p\u003e" + ] + }, + { + "id": "sc-18.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(4)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines actions to be enforced by the information system prior to executing mobile code;\u003c/p\u003e" + ] + }, + { + "id": "sc-18.4_obj_4.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(4)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system prevents the automatic execution of mobile code in the organization-defined software applications; and\u003c/p\u003e" + ] + }, + { + "id": "sc-18.4_obj_4.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-18(4)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe information system enforces organization-defined actions prior to executing the code.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing mobile code\u003c/p\u003e", + "\u003cp\u003emobile code usage restrictions\u003c/p\u003e", + "\u003cp\u003emobile code implementation policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of software applications for which automatic execution of mobile code must be prohibited\u003c/p\u003e", + "\u003cp\u003elist of actions required before execution of mobile code\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for managing mobile code\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms preventing automatic execution of unacceptable mobile code\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms enforcing actions to be taken prior to the execution of the mobile code\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-18.5", + "class": "SP800-53-enhancement", + "title": "Allow Execution Only in Confined Environments", + "props": [ + { + "class": "name", + "value": "SC-18 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization allows execution of permitted mobile code only in confined virtual machine environments.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization allows execution of permitted mobile code only in confined virtual machine environments.\u003c/p\u003e" + ] + }, + { + "class": 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"class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for managing mobile code\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms allowing execution of permitted mobile code in confined virtual machine environments\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sc-19", + "class": "SP800-53", + "title": "Voice Over Internet Protocol", + "props": [ + { + "class": "name", + "value": "SC-19" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-19_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-19a." + } + ], + "prose": [ + "\u003cp\u003eEstablishes usage restrictions and implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously; and\u003c/p\u003e" + ] + }, + { + "id": "sc-19_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-19b." + } + ], + "prose": [ + "\u003cp\u003eAuthorizes, monitors, and controls the use of VoIP within the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#sc-15" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-19_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-19(a)" + } + ], + "parts": [ + { + "id": "sc-19_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-19(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eestablishes usage restrictions for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously;\u003c/p\u003e" + ] + }, + { + "id": "sc-19_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-19(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eestablishes implementation guidance for Voice over Internet Protocol (VoIP) technologies based on the potential to cause damage to the information system if used maliciously;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-19_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-19(b)" + } + ], + "parts": [ + { + "id": "sc-19_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-19(b)[1]" + } + ], + "prose": [ + "\u003cp\u003eauthorizes the use of VoIP within the information system;\u003c/p\u003e" + ] + }, + { + "id": "sc-19_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-19(b)[2]" + } + ], + "prose": [ + "\u003cp\u003emonitors the use of VoIP within the information system; and\u003c/p\u003e" + ] + }, + { + "id": "sc-19_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-19(b)[3]" + } + ], + "prose": [ + "\u003cp\u003econtrols the use of VoIP within the information system.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing VoIP\u003c/p\u003e", + "\u003cp\u003eVoIP usage restrictions\u003c/p\u003e", + "\u003cp\u003eVoIP implementation 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"\u003cp\u003eOrganizational process for authorizing, monitoring, and controlling VoIP\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing authorizing, monitoring, and controlling VoIP\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sc-20", + "class": "SP800-53", + "title": "Secure Name / Address Resolution Service (authoritative Source)", + "props": [ + { + "class": "name", + "value": "SC-20" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-20_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-20a." + } + ], + "prose": [ + "\u003cp\u003eProvides additional data origin authentication and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries; and\u003c/p\u003e" + ] + }, + { + "id": "sc-20_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-20b." + } + ], + "prose": [ + "\u003cp\u003eProvides the means to indicate the security status of child zones and (if the child supports secure resolution services) to enable verification of a chain of trust among parent and child domains, when operating as part of a distributed, hierarchical namespace.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enables external clients including, for example, remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. Additional artifacts include, for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples of authoritative data. The means to indicate the security status of child zones includes, for example, the use of delegation signer resource records in the DNS. The DNS security controls reflect (and are referenced from) OMB Memorandum 08-23. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-10" + }, + { + "rel": "related", + "href": "#sc-8" + }, + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + }, + { + "rel": "related", + "href": "#sc-21" + }, + { + "rel": "related", + "href": "#sc-22" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-20_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-20(a)" + } + ], + "prose": [ + "\u003cp\u003eprovides additional data origin and integrity verification artifacts along with the authoritative name resolution data the system returns in response to external name/address resolution queries;\u003c/p\u003e" + ] + }, + { + "id": "sc-20_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-20(b)" + } + ], + "prose": [ + "\u003cp\u003eprovides the means to, when operating as part of a distributed, hierarchical namespace:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-20_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-20(b)[1]" + } + ], + "prose": [ + "\u003cp\u003eindicate the security status of child zones; and\u003c/p\u003e" + ] + }, + { + "id": "sc-20_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-20(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eenable verification of a chain of trust among parent and child domains (if the child supports secure resolution services).\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing secure name/address resolution service (authoritative source)\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for managing DNS\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing secure name/address resolution service\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-20.1", + "class": "SP800-53-enhancement", + "title": "Child Subspaces", + "links": [ + { + "rel": "related", + "href": "#sc-20" + } + ], + "props": [ + { + "class": "name", + "value": "SC-20 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-20\u003c/i\u003e \u003ci\u003eIncorporated into SC-20\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-20.2", + "class": "SP800-53-enhancement", + "title": "Data Origin / Integrity", + "props": [ + { + "class": "name", + "value": "SC-20 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system provides data origin and integrity protection artifacts for internal name/address resolution queries.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system provides data origin and integrity protection artifacts for internal name/address resolution queries.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing secure name/address resolution service (authoritative source)\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for managing DNS\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing data origin and integrity protection for internal name/address resolution service queries\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sc-21", + "class": "SP800-53", + "title": "Secure Name / Address Resolution Service (recursive or Caching Resolver)", + "props": [ + { + "class": "name", + "value": "SC-21" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system requests and performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEach client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Information systems that provide name and address resolution services for local clients include, for example, recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-20" + }, + { + "rel": "related", + "href": "#sc-22" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system: \u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-21_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-21[1]" + } + ], + "prose": [ + "\u003cp\u003erequests data origin authentication on the name/address resolution responses the system receives from authoritative sources;\u003c/p\u003e" + ] + }, + { + "id": "sc-21_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-21[2]" + } + ], + "prose": [ + "\u003cp\u003erequests data integrity verification on the name/address resolution responses the system receives from authoritative sources;\u003c/p\u003e" + ] + }, + { + "id": "sc-21_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-21[3]" + } + ], + "prose": [ + "\u003cp\u003eperforms data origin authentication on the name/address resolution responses the system receives from authoritative sources; and\u003c/p\u003e" + ] + }, + { + "id": "sc-21_obj_4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-21[4]" + } + ], + "prose": [ + "\u003cp\u003eperforms data integrity verification on the name/address resolution responses the system receives from authoritative sources.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing secure name/address resolution service (recursive or caching resolver)\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for managing DNS\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-21.1", + "class": "SP800-53-enhancement", + "title": "Data Origin / Integrity", + "links": [ + { + "rel": "related", + "href": "#sc-21" + } + ], + "props": [ + { + "class": "name", + "value": "SC-21 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-21\u003c/i\u003e \u003ci\u003eIncorporated into SC-21\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sc-22", + "class": "SP800-53", + "title": "Architecture and Provisioning for Name / Address Resolution Service", + "props": [ + { + "class": "name", + "value": "SC-22" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems that provide name and address resolution services include, for example, domain name system (DNS) servers. To eliminate single points of failure and to enhance redundancy, organizations employ at least two authoritative domain name system servers, one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in particular roles (e.g., by address ranges, explicit lists).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-2" + }, + { + "rel": "related", + "href": "#sc-20" + }, + { + "rel": "related", + "href": "#sc-21" + }, + { + "rel": "related", + "href": "#sc-24" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information systems that collectively provide name/address resolution service for an organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-22_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-22[1]" + } + ], + "prose": [ + "\u003cp\u003eare fault tolerant; and\u003c/p\u003e" + ] + }, + { + "id": "sc-22_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-22[2]" + } + ], + "prose": [ + "\u003cp\u003eimplement internal/external role separation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing architecture and provisioning for name/address resolution service\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003eassessment results from independent, testing organizations\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for managing DNS\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing name/address resolution service for fault tolerance and role separation\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sc-23", + "class": "SP800-53", + "title": "Session Authenticity", + "props": [ + { + "class": "name", + "value": "SC-23" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system protects the authenticity of communications sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses communications protection at the session, versus packet level (e.g., sessions in service-oriented architectures providing web-based services) and establishes grounds for confidence at both ends of communications sessions in ongoing identities of other parties and in the validity of information transmitted. Authenticity protection includes, for example, protecting against man-in-the-middle attacks/session hijacking and the insertion of false information into sessions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-8" + }, + { + "rel": "related", + "href": "#sc-10" + }, + { + "rel": "related", + "href": "#sc-11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system protects the authenticity of communications sessions.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing session authenticity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing session authenticity\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-23.1", + "class": "SP800-53-enhancement", + "title": "Invalidate Session Identifiers at Logout", + "props": [ + { + "class": "name", + "value": "SC-23 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system invalidates session identifiers upon user logout or other session termination.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement curtails the ability of adversaries from capturing and continuing to employ previously valid session IDs.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system invalidates session identifiers upon user logout or other session termination.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing session authenticity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing session identifier invalidation upon session termination\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-23.2", + "class": "SP800-53-enhancement", + "title": "User-initiated Logouts / Message Displays", + "links": [ + { + "rel": "related", + "href": "#ac-12.1" + } + ], + "props": [ + { + "class": "name", + "value": "SC-23 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into AC-12 (1)\u003c/i\u003e \u003ci\u003eIncorporated into AC-12 (1)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-23.3", + "class": "SP800-53-enhancement", + "title": "Unique Session Identifiers with Randomization", + "params": [ + { + "id": "sc-23.3_prm_1", + "label": "organization-defined randomness requirements" + } + ], + "props": [ + { + "class": "name", + "value": "SC-23 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system generates a unique session identifier for each session with \u003cinsert param-id=\"sc-23.3_prm_1\"/\u003e and recognizes only session identifiers that are system-generated.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement curtails the ability of adversaries from reusing previously valid session IDs. Employing the concept of randomness in the generation of unique session identifiers helps to protect against brute-force attacks to determine future session identifiers.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-23.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-23(3)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines randomness requirements for generating a unique session identifier for each session;\u003c/p\u003e" + ] + }, + { + "id": "sc-23.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-23(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system generates a unique session identifier for each session with organization-defined randomness requirements; and\u003c/p\u003e" + ] + }, + { + "id": "sc-23.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-23(3)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system recognizes only session identifiers that are system-generated.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing session authenticity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing generating and monitoring unique session identifiers\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing randomness requirements\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-23.4", + "class": "SP800-53-enhancement", + "title": "Unique Session Identifiers with Randomization", + "links": [ + { + "rel": "related", + "href": "#sc-23.3" + } + ], + "props": [ + { + "class": "name", + "value": "SC-23 (4)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-23 (3)\u003c/i\u003e \u003ci\u003eIncorporated into SC-23 (3)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-23.5", + "class": "SP800-53-enhancement", + "title": "Allowed Certificate Authorities", + "params": [ + { + "id": "sc-23.5_prm_1", + "label": "organization-defined certificate authorities" + } + ], + "props": [ + { + "class": "name", + "value": "SC-23 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system only allows the use of \u003cinsert param-id=\"sc-23.5_prm_1\"/\u003e for verification of the establishment of protected sessions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eReliance on certificate authorities (CAs) for the establishment of secure sessions includes, for example, the use of Secure Socket Layer (SSL) and/or Transport Layer Security (TLS) certificates. These certificates, after verification by the respective certificate authorities, facilitate the establishment of protected sessions between web clients and web servers.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-23.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-23(5)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines certificate authorities to be allowed for verification of the establishment of protected sessions; and\u003c/p\u003e" + ] + }, + { + "id": "sc-23.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-23(5)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system only allows the use of organization-defined certificate authorities for verification of the establishment of protected sessions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing session authenticity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of certificate authorities allowed for verification of the establishment of protected sessions\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing management of certificate authorities\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sc-24", + "class": "SP800-53", + "title": "Fail in Known State", + "params": [ + { + "id": "sc-24_prm_1", + "label": "organization-defined known-state" + }, + { + "id": "sc-24_prm_2", + "label": "organization-defined types of failures" + }, + { + "id": "sc-24_prm_3", + "label": "organization-defined system state information" + } + ], + "props": [ + { + "class": "name", + "value": "SC-24" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system fails to a \u003cinsert param-id=\"sc-24_prm_1\"/\u003e for \u003cinsert param-id=\"sc-24_prm_2\"/\u003e preserving \u003cinsert param-id=\"sc-24_prm_3\"/\u003e in failure.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailure in a known state addresses security concerns in accordance with the mission/business needs of organizations. Failure in a known secure state helps to prevent the loss of confidentiality, integrity, or availability of information in the event of failures of organizational information systems or system components. Failure in a known safe state helps to prevent systems from failing to a state that may cause injury to individuals or destruction to property. Preserving information system state information facilitates system restart and return to the operational mode of organizations with less disruption of mission/business processes.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#cp-10" + }, + { + "rel": "related", + "href": "#cp-12" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#sc-22" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-24_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-24[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines a known-state to which the information system is to fail in the event of a system failure;\u003c/p\u003e" + ] + }, + { + "id": "sc-24_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-24[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines types of failures for which the information system is to fail to an organization-defined known-state;\u003c/p\u003e" + ] + }, + { + "id": "sc-24_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-24[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines system state information to be preserved in the event of a system failure;\u003c/p\u003e" + ] + }, + { + "id": "sc-24_obj_4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-24[4]" + } + ], + "prose": [ + "\u003cp\u003ethe information system fails to the organization-defined known-state for organization-defined types of failures; and\u003c/p\u003e" + ] + }, + { + "id": "sc-24_obj_5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-24[5]" + } + ], + "prose": [ + "\u003cp\u003ethe information system preserves the organization-defined system state information in the event of a system failure.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system failure to known state\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of failures requiring information system to fail in a known state\u003c/p\u003e", + "\u003cp\u003estate information to be preserved in system failure\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing fail-in-known state capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms preserving system state information in the event of a system failure\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-25", + "class": "SP800-53", + "title": "Thin Nodes", + "params": [ + { + "id": "sc-25_prm_1", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-25" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sc-25_prm_1\"/\u003e with minimal functionality and information storage.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe deployment of information system components with reduced/minimal functionality (e.g., diskless nodes and thin client technologies) reduces the need to secure every user endpoint, and may reduce the exposure of information, information systems, and services to cyber attacks.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-30" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-25_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-25[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components to be employed with minimal functionality and information storage; and\u003c/p\u003e" + ] + }, + { + "id": "sc-25_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-25[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined information system components with minimal functionality and information storage.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing use of thin nodes\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing thin nodes\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-26", + "class": "SP800-53", + "title": "Honeypots", + "props": [ + { + "class": "name", + "value": "SC-26" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA honeypot is set up as a decoy to attract adversaries and to deflect their attacks away from the operational systems supporting organizational missions/business function. Depending upon the specific usage of the honeypot, consultation with the Office of the General Counsel before deployment may be needed.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-30" + }, + { + "rel": "related", + "href": "#sc-44" + }, + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system includes components specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting, and analyzing such attacks.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing use of honeypots\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing honey pots\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-26.1", + "class": "SP800-53-enhancement", + "title": "Detection of Malicious Code", + "links": [ + { + "rel": "related", + "href": "#sc-35" + } + ], + "props": [ + { + "class": "name", + "value": "SC-26 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-35\u003c/i\u003e \u003ci\u003eIncorporated into SC-35\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-27", + "class": "SP800-53", + "title": "Platform-independent Applications", + "params": [ + { + "id": "sc-27_prm_1", + "label": "organization-defined platform-independent applications" + } + ], + "props": [ + { + "class": "name", + "value": "SC-27" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system includes: \u003cinsert param-id=\"sc-27_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePlatforms are combinations of hardware and software used to run software applications. Platforms include: (i) operating systems; (ii) the underlying computer architectures, or (iii) both. Platform-independent applications are applications that run on multiple platforms. Such applications promote portability and reconstitution on different platforms, increasing the availability of critical functions within organizations while information systems with specific operating systems are under attack.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-29" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-27_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-27[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines platform-independent applications; and\u003c/p\u003e" + ] + }, + { + "id": "sc-27_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-27[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system includes organization-defined platform-independent applications.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing platform-independent applications\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of platform-independent applications\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing platform-independent applications\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-28", + "class": "SP800-53", + "title": "Protection of Information at Rest", + "params": [ + { + "id": "sc-28_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "confidentiality" + }, + { + "assignments": null, + "Value": "integrity" + } + ] + } + }, + { + "id": "sc-28_prm_2", + "label": "organization-defined information at rest" + } + ], + "props": [ + { + "class": "name", + "value": "SC-28" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system protects the \u003cinsert param-id=\"sc-28_prm_1\"/\u003e of \u003cinsert param-id=\"sc-28_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the confidentiality and integrity of information at rest and covers user information and system information. Information at rest refers to the state of information when it is located on storage devices as specific components of information systems. System-related information requiring protection includes, for example, configurations or rule sets for firewalls, gateways, intrusion detection/prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. Organizations may also employ other security controls including, for example, secure off-line storage in lieu of online storage when adequate protection of information at rest cannot otherwise be achieved and/or continuous monitoring to identify malicious code at rest.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-5" + }, + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#sc-8" + }, + { + "rel": "related", + "href": "#sc-13" + }, + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-28_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-28[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information at rest requiring one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-28_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-28[1][a]" + } + ], + "prose": [ + "\u003cp\u003econfidentiality protection; and/or\u003c/p\u003e" + ] + }, + { + "id": "sc-28_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-28[1][b]" + } + ], + "prose": [ + "\u003cp\u003eintegrity protection;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-28_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-28[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system protects:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-28_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-28[2][a]" + } + ], + "prose": [ + "\u003cp\u003ethe confidentiality of organization-defined information at rest; and/or\u003c/p\u003e" + ] + }, + { + "id": "sc-28_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-28[2][b]" + } + ], + "prose": [ + "\u003cp\u003ethe integrity of organization-defined information at rest.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing protection of information at rest\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ecryptographic mechanisms and associated configuration documentation\u003c/p\u003e", + "\u003cp\u003elist of information at rest requiring confidentiality and integrity protections\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-28.1", + "class": "SP800-53-enhancement", + "title": "Cryptographic Protection", + "params": [ + { + "id": "sc-28.1_prm_1", + "label": "organization-defined information" + }, + { + "id": "sc-28.1_prm_2", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-28 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements cryptographic mechanisms to prevent unauthorized disclosure and modification of \u003cinsert param-id=\"sc-28.1_prm_1\"/\u003e on \u003cinsert param-id=\"sc-28.1_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSelection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to significant concentrations of digital media in organizational areas designated for media storage and also to limited quantities of media generally associated with information system components in operational environments (e.g., portable storage devices, mobile devices). Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields). Organizations employing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#sc-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-28.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-28(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information requiring cryptographic protection;\u003c/p\u003e" + ] + }, + { + "id": "sc-28.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-28(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information system components with organization-defined information requiring cryptographic protection; and\u003c/p\u003e" + ] + }, + { + "id": "sc-28.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-28(1)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system employs cryptographic mechanisms to prevent unauthorized disclosure and modification of organization-defined information on organization-defined information system components.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing protection of information at rest\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ecryptographic mechanisms and associated configuration documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eCryptographic mechanisms implementing confidentiality and integrity protections for information at rest\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-28.2", + "class": "SP800-53-enhancement", + "title": "Off-line Storage", + "params": [ + { + "id": "sc-28.2_prm_1", + "label": "organization-defined information" + } + ], + "props": [ + { + "class": "name", + "value": "SC-28 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization removes from online storage and stores off-line in a secure location \u003cinsert param-id=\"sc-28.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRemoving organizational information from online information system storage to off-line storage eliminates the possibility of individuals gaining unauthorized access to the information through a network. Therefore, organizations may choose to move information to off-line storage in lieu of protecting such information in online storage.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-28.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-28(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information to be removed from online storage and stored off-line in a secure location; and\u003c/p\u003e" + ] + }, + { + "id": "sc-28.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-28(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eremoves organization-defined information from online storage; and\u003c/p\u003e" + ] + }, + { + "id": "sc-28.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-28(2)[3]" + } + ], + "prose": [ + "\u003cp\u003estores such information off-line in a secure location.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing protection of information at rest\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ecryptographic mechanisms and associated configuration documentation\u003c/p\u003e", + "\u003cp\u003eoff-line storage locations for information at rest\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing removal of information from online storage\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing storage of information off-line\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sc-29", + "class": "SP800-53", + "title": "Heterogeneity", + "params": [ + { + "id": "sc-29_prm_1", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-29" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs a diverse set of information technologies for \u003cinsert param-id=\"sc-29_prm_1\"/\u003e in the implementation of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIncreasing the diversity of information technologies within organizational information systems reduces the impact of potential exploitations of specific technologies and also defends against common mode failures, including those failures induced by supply chain attacks. Diversity in information technologies also reduces the likelihood that the means adversaries use to compromise one information system component will be equally effective against other system components, thus further increasing the adversary work factor to successfully complete planned cyber attacks. An increase in diversity may add complexity and management overhead which could ultimately lead to mistakes and unauthorized configurations.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#sa-14" + }, + { + "rel": "related", + "href": "#sc-27" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-29_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-29[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components requiring a diverse set of information technologies to be employed in the implementation of the information system; and\u003c/p\u003e" + ] + }, + { + "id": "sc-29_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-29[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys a diverse set of information technologies for organization-defined information system components in the implementation of the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of technologies deployed in the information system\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for information system components or services\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information system acquisition, development, and implementation responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing employment of a diverse set of information technologies\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-29.1", + "class": "SP800-53-enhancement", + "title": "Virtualization Techniques", + "params": [ + { + "id": "sc-29.1_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SC-29 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed \u003cinsert param-id=\"sc-29.1_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhile frequent changes to operating systems and applications pose configuration management challenges, the changes can result in an increased work factor for adversaries in order to carry out successful cyber attacks. Changing virtual operating systems or applications, as opposed to changing actual operating systems/applications, provide virtual changes that impede attacker success while reducing configuration management efforts. In addition, virtualization techniques can assist organizations in isolating untrustworthy software and/or software of dubious provenance into confined execution environments.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-29.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-29(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to change the diversity of operating systems and applications deployed using virtualization techniques; and\u003c/p\u003e" + ] + }, + { + "id": "sc-29.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-29(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys virtualization techniques to support the deployment of a diversity of operating systems and applications that are changed with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003elist of operating systems and applications deployed using virtualization techniques\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003econfiguration management records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibilities for implementing approved virtualization techniques to the information system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing employment of a diverse set of information technologies\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing virtualization techniques\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-30", + "class": "SP800-53", + "title": "Concealment and Misdirection", + "params": [ + { + "id": "sc-30_prm_1", + "label": "organization-defined concealment and misdirection techniques" + }, + { + "id": "sc-30_prm_2", + "label": "organization-defined information systems" + }, + { + "id": "sc-30_prm_3", + "label": "organization-defined time periods" + } + ], + "props": [ + { + "class": "name", + "value": "SC-30" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sc-30_prm_1\"/\u003e for \u003cinsert param-id=\"sc-30_prm_2\"/\u003e at \u003cinsert param-id=\"sc-30_prm_3\"/\u003e to confuse and mislead adversaries.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConcealment and misdirection techniques can significantly reduce the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. For example, virtualization techniques provide organizations with the ability to disguise information systems, potentially reducing the likelihood of successful attacks without the cost of having multiple platforms. Increased use of concealment/misdirection techniques including, for example, randomness, uncertainty, and virtualization, may sufficiently confuse and mislead adversaries and subsequently increase the risk of discovery and/or exposing tradecraft. Concealment/misdirection techniques may also provide organizations additional time to successfully perform core missions and business functions. Because of the time and effort required to support concealment/misdirection techniques, it is anticipated that such techniques would be used by organizations on a very limited basis.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-26" + }, + { + "rel": "related", + "href": "#sc-29" + }, + { + "rel": "related", + "href": "#si-14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-30_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30[1]" + } + ], + "prose": [ + "\u003cp\u003edefines concealment and misdirection techniques to be employed to confuse and mislead adversaries potentially targeting organizational information systems;\u003c/p\u003e" + ] + }, + { + "id": "sc-30_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30[2]" + } + ], + "prose": [ + "\u003cp\u003edefines information systems for which organization-defined concealment and misdirection techniques are to be employed;\u003c/p\u003e" + ] + }, + { + "id": "sc-30_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30[3]" + } + ], + "prose": [ + "\u003cp\u003edefines time periods to employ organization-defined concealment and misdirection techniques for organization-defined information systems; and\u003c/p\u003e" + ] + }, + { + "id": "sc-30_obj_4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30[4]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined concealment and misdirection techniques for organization-defined information systems at organization-defined time periods to confuse and mislead adversaries.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003elist of concealment and misdirection techniques to be employed for organizational information systems\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for implementing concealment and misdirection techniques for information systems\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing concealment and misdirection techniques\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-30.1", + "class": "SP800-53-enhancement", + "title": "Virtualization Techniques", + "links": [ + { + "rel": "related", + "href": "#sc-29.1" + } + ], + "props": [ + { + "class": "name", + "value": "SC-30 (1)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-29 (1)\u003c/i\u003e \u003ci\u003eIncorporated into SC-29 (1)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-30.2", + "class": "SP800-53-enhancement", + "title": "Randomness", + "params": [ + { + "id": "sc-30.2_prm_1", + "label": "organization-defined techniques" + } + ], + "props": [ + { + "class": "name", + "value": "SC-30 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sc-30.2_prm_1\"/\u003e to introduce randomness into organizational operations and assets.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRandomness introduces increased levels of uncertainty for adversaries regarding the actions organizations take in defending against cyber attacks. Such actions may impede the ability of adversaries to correctly target information resources of organizations supporting critical missions/business functions. Uncertainty may also cause adversaries to hesitate before initiating or continuing attacks. Misdirection techniques involving randomness include, for example, performing certain routine actions at different times of day, employing different information technologies (e.g., browsers, search engines), using different suppliers, and rotating roles and responsibilities of organizational personnel.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-30.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines techniques to be employed to introduce randomness into organizational operations and assets; and\u003c/p\u003e" + ] + }, + { + "id": "sc-30.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined techniques to introduce randomness into organizational operations and assets.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003elist of techniques to be employed to introduce randomness into organizational operations and assets\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for implementing concealment and misdirection techniques for information systems\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing randomness as a concealment and misdirection technique\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-30.3", + "class": "SP800-53-enhancement", + "title": "Change Processing / Storage Locations", + "params": [ + { + "id": "sc-30.3_prm_1", + "label": "organization-defined processing and/or storage" + }, + { + "id": "sc-30.3_prm_2", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "\n \n " + }, + { + "assignments": null, + "Value": "at random time intervals" + } + ] + } + }, + { + "id": "sc-30.3_prm_3", + "dependsOn": "sc-30.3_prm_2", + "label": "organization-defined time frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SC-30 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization changes the location of \u003cinsert param-id=\"sc-30.3_prm_1\"/\u003e \u003cinsert param-id=\"sc-30.3_prm_2\"/\u003e].\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAdversaries target critical organizational missions/business functions and the information resources supporting those missions and functions while at the same time, trying to minimize exposure of their existence and tradecraft. The static, homogeneous, and deterministic nature of organizational information systems targeted by adversaries, make such systems more susceptible to cyber attacks with less adversary cost and effort to be successful. Changing organizational processing and storage locations (sometimes referred to as moving target defense) addresses the advanced persistent threat (APT) using techniques such as virtualization, distributed processing, and replication. This enables organizations to relocate the information resources (i.e., processing and/or storage) supporting critical missions and business functions. Changing locations of processing activities and/or storage sites introduces uncertainty into the targeting activities by adversaries. This uncertainty increases the work factor of adversaries making compromises or breaches to organizational information systems much more difficult and time-consuming, and increases the chances that adversaries may inadvertently disclose aspects of tradecraft while attempting to locate critical organizational resources.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-30.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines processing and/or storage locations to be changed at time intervals specified by the organization;\u003c/p\u003e" + ] + }, + { + "id": "sc-30.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to change the location of organization-defined processing and/or storage; and\u003c/p\u003e" + ] + }, + { + "id": "sc-30.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30(3)[3]" + } + ], + "prose": [ + "\u003cp\u003echanges the location of organization-defined processing and/or storage at one of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-30.3_obj_3.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30(3)[3][a]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined time intervals; or\u003c/p\u003e" + ] + }, + { + "id": "sc-30.3_obj_3.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30(3)[3][b]" + } + ], + "prose": [ + "\u003cp\u003erandom time intervals.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp\u003elist of processing/storage locations to be changed at organizational time intervals\u003c/p\u003e", + "\u003cp\u003echange control records\u003c/p\u003e", + "\u003cp\u003econfiguration management records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for changing processing and/or storage locations\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing changing processing and/or storage locations\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-30.4", + "class": "SP800-53-enhancement", + "title": "Misleading Information", + "params": [ + { + "id": "sc-30.4_prm_1", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-30 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs realistic, but misleading information in \u003cinsert param-id=\"sc-30.4_prm_1\"/\u003e with regard to its security state or posture.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement misleads potential adversaries regarding the nature and extent of security safeguards deployed by organizations. As a result, adversaries may employ incorrect (and as a result ineffective) attack techniques. One way of misleading adversaries is for organizations to place misleading information regarding the specific security controls deployed in external information systems that are known to be accessed or targeted by adversaries. Another technique is the use of deception nets (e.g., honeynets, virtualized environments) that mimic actual aspects of organizational information systems but use, for example, out-of-date software configurations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-30.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components in which to employ realistic, but misleading information regarding its security state or posture; and\u003c/p\u003e" + ] + }, + { + "id": "sc-30.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30(4)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys realistic, but misleading information in organization-defined information system components with regard to its security state or posture.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for defining and employing realistic, but misleading information about the security posture of information system components\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing employment of realistic, but misleading information about the security posture of information system components\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-30.5", + "class": "SP800-53-enhancement", + "title": "Concealment of System Components", + "params": [ + { + "id": "sc-30.5_prm_1", + "label": "organization-defined techniques" + }, + { + "id": "sc-30.5_prm_2", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-30 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sc-30.5_prm_1\"/\u003e to hide or conceal \u003cinsert param-id=\"sc-30.5_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBy hiding, disguising, or otherwise concealing critical information system components, organizations may be able to decrease the probability that adversaries target and successfully compromise those assets. Potential means for organizations to hide and/or conceal information system components include, for example, configuration of routers or the use of honeynets or virtualization techniques.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-30.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines techniques to be employed to hide or conceal information system components;\u003c/p\u003e" + ] + }, + { + "id": "sc-30.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30(5)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components to be hidden or concealed using organization-defined techniques; and\u003c/p\u003e" + ] + }, + { + "id": "sc-30.5_obj_5.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-30(5)[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined techniques to hide or conceal organization-defined information system components.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing concealment and misdirection techniques for the information system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of techniques employed to hide or conceal information system components\u003c/p\u003e", + "\u003cp\u003elist of information system components to be hidden or concealed\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for concealment of system components\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing techniques for concealment of system components\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-31", + "class": "SP800-53", + "title": "Covert Channel Analysis", + "params": [ + { + "id": "sc-31_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "storage" + }, + { + "assignments": null, + "Value": "timing" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "SC-31" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-31_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-31a." + } + ], + "prose": [ + "\u003cp\u003ePerforms a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for covert \u003cinsert param-id=\"sc-31_prm_1\"/\u003e channels; and\u003c/p\u003e" + ] + }, + { + "id": "sc-31_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-31b." + } + ], + "prose": [ + "\u003cp\u003eEstimates the maximum bandwidth of those channels.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDevelopers are in the best position to identify potential areas within systems that might lead to covert channels. Covert channel analysis is a meaningful activity when there is the potential for unauthorized information flows across security domains, for example, in the case of information systems containing export-controlled information and having connections to external networks (i.e., networks not controlled by organizations). Covert channel analysis is also meaningful for multilevel secure (MLS) information systems, multiple security level (MSL) systems, and cross-domain systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#pl-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-31_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-31(a)" + } + ], + "prose": [ + "\u003cp\u003eperforms a covert channel analysis to identify those aspects of communications within the information system that are potential avenues for one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-31_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-31(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ecovert storage channels; and/or\u003c/p\u003e" + ] + }, + { + "id": "sc-31_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-31(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ecovert timing channels; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-31_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-31(b)" + } + ], + "prose": [ + "\u003cp\u003eestimates the maximum bandwidth of those channels.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing covert channel analysis\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ecovert channel analysis documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with covert channel analysis responsibilities\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational process for conducting covert channel analysis\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing covert channel analysis\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the capability to estimate the bandwidth of covert channels\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-31.1", + "class": "SP800-53-enhancement", + "title": "Test Covert Channels for Exploitability", + "props": [ + { + "class": "name", + "value": "SC-31 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization tests a subset of the identified covert channels to determine which channels are exploitable.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization tests a subset of identified covert channels to determine which channels are exploitable.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing covert channel analysis\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of covert channels\u003c/p\u003e", + "\u003cp\u003ecovert channel analysis documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with covert channel analysis responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational process for testing covert channels\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing testing of covert channels analysis\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-31.2", + "class": "SP800-53-enhancement", + "title": "Maximum Bandwidth", + "params": [ + { + "id": "sc-31.2_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "storage" + }, + { + "assignments": null, + "Value": "timing" + } + ] + } + }, + { + "id": "sc-31.2_prm_2", + "label": "organization-defined values" + } + ], + "props": [ + { + "class": "name", + "value": "SC-31 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization reduces the maximum bandwidth for identified covert \u003cinsert param-id=\"sc-31.2_prm_1\"/\u003e channels to \u003cinsert param-id=\"sc-31.2_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system developers are in the best position to reduce the maximum bandwidth for identified covert storage and timing channels.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-31.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-31(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines values to be employed as the maximum bandwidth allowed for identified covert channels; and\u003c/p\u003e" + ] + }, + { + "id": "sc-31.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-31(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereduces the maximum bandwidth to organization-defined values for one or more of the following identified:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-31.2_obj_2.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-31(2)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ecovert storage channels; and/or\u003c/p\u003e" + ] + }, + { + "id": "sc-31.2_obj_2.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-31(2)[2][b]" + } + ], + "prose": [ + "\u003cp\u003ecovert timing channels.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing covert channel analysis\u003c/p\u003e", + "\u003cp\u003eacquisition contracts for information systems or services\u003c/p\u003e", + "\u003cp\u003eacquisition documentation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ecovert channel analysis documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with covert channel analysis responsibilities\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational process for conducting covert channel analysis\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing covert channel analysis\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the capability to reduce the bandwidth of covert channels\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-31.3", + "class": "SP800-53-enhancement", + "title": "Measure Bandwidth in Operational Environments", + "params": [ + { + "id": "sc-31.3_prm_1", + "label": "organization-defined subset of identified covert channels" + } + ], + "props": [ + { + "class": "name", + "value": "SC-31 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization measures the bandwidth of \u003cinsert param-id=\"sc-31.3_prm_1\"/\u003e in the operational environment of the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses covert channel bandwidth in operational environments versus developmental environments. Measuring covert channel bandwidth in operational environments helps organizations to determine how much information can be covertly leaked before such leakage adversely affects organizational missions/business functions. Covert channel bandwidth may be significantly different when measured in those settings that are independent of the particular environments of operation (e.g., laboratories or development environments).\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-31.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-31(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines subset of identified covert channels whose bandwidth is to be measured in the operational environment of the information system; and\u003c/p\u003e" + ] + }, + { + "id": "sc-31.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-31(3)[2]" + } + ], + "prose": [ + "\u003cp\u003emeasures the bandwidth of the organization-defined subset of identified covert channels in the operational environment of the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing covert channel analysis\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ecovert channel analysis documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with covert channel analysis responsibilities\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational process for conducting covert channel analysis\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing covert channel analysis\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the capability to measure the bandwidth of covert channels\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-32", + "class": "SP800-53", + "title": "Information System Partitioning", + "params": [ + { + "id": "sc-32_prm_1", + "label": "organization-defined information system components" + }, + { + "id": "sc-32_prm_2", + "label": "organization-defined circumstances for physical separation of components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-32" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization partitions the information system into \u003cinsert param-id=\"sc-32_prm_1\"/\u003e residing in separate physical domains or environments based on \u003cinsert param-id=\"sc-32_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system partitioning is a part of a defense-in-depth protection strategy. Organizations determine the degree of physical separation of system components from physically distinct components in separate racks in the same room, to components in separate rooms for the more critical components, to more significant geographical separation of the most critical components. Security categorization can guide the selection of appropriate candidates for domain partitioning. Managed interfaces restrict or prohibit network access and information flow among partitioned information system components.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#sa-8" + }, + { + "rel": "related", + "href": "#sc-2" + }, + { + "rel": "related", + "href": "#sc-3" + }, + { + "rel": "related", + "href": "#sc-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-32_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-32[1]" + } + ], + "prose": [ + "\u003cp\u003edefines circumstances for physical separation of information system components into information system partitions;\u003c/p\u003e" + ] + }, + { + "id": "sc-32_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-32[2]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components to reside in separate physical domains or environments based on organization-defined circumstances for physical separation of components; and\u003c/p\u003e" + ] + }, + { + "id": "sc-32_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-32[3]" + } + ], + "prose": [ + "\u003cp\u003epartitions the information system into organization-defined information system components residing in separate physical domains or environments based on organization-defined circumstances for physical separation of components.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system partitioning\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003elist of information system physical domains (or environments)\u003c/p\u003e", + "\u003cp\u003einformation system facility diagrams\u003c/p\u003e", + "\u003cp\u003einformation system network diagrams\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing physical separation of information system components\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "sc-33", + "class": "SP800-53", + "title": "Transmission Preparation Integrity", + "links": [ + { + "rel": "related", + "href": "#sc-8" + } + ], + "props": [ + { + "class": "name", + "value": "SC-33" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SC-8\u003c/i\u003e \u003ci\u003eIncorporated into SC-8\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-34", + "class": "SP800-53", + "title": "Non-modifiable Executable Programs", + "params": [ + { + "id": "sc-34_prm_1", + "label": "organization-defined information system components" + }, + { + "id": "sc-34_prm_2", + "label": "organization-defined applications" + } + ], + "props": [ + { + "class": "name", + "value": "SC-34" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system at \u003cinsert param-id=\"sc-34_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-34_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-34a." + } + ], + "prose": [ + "\u003cp\u003eLoads and executes the operating environment from hardware-enforced, read-only media; and\u003c/p\u003e" + ] + }, + { + "id": "sc-34_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-34b." + } + ], + "prose": [ + "\u003cp\u003eLoads and executes \u003cinsert param-id=\"sc-34_prm_2\"/\u003e from hardware-enforced, read-only media.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe term operating environment is defined as the specific code that hosts applications, for example, operating systems, executives, or monitors including virtual machine monitors (i.e., hypervisors). It can also include certain applications running directly on hardware platforms. Hardware-enforced, read-only media include, for example, Compact Disk-Recordable (CD-R)/Digital Video Disk-Recordable (DVD-R) disk drives and one-time programmable read-only memory. The use of non-modifiable storage ensures the integrity of software from the point of creation of the read-only image. The use of reprogrammable read-only memory can be accepted as read-only media provided: (i) integrity can be adequately protected from the point of initial writing to the insertion of the memory into the information system; and (ii) there are reliable hardware protections against reprogramming the memory while installed in organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-34_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information system components for which the operating environment and organization-defined applications are to be loaded and executed from hardware-enforced, read-only media;\u003c/p\u003e" + ] + }, + { + "id": "sc-34_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines applications to be loaded and executed from hardware-enforced, read-only media;\u003c/p\u003e" + ] + }, + { + "id": "sc-34_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system, at organization-defined information system components:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-34_obj_3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34[3](a)" + } + ], + "prose": [ + "\u003cp\u003eloads and executes the operating environment from hardware-enforced, read-only media; and\u003c/p\u003e" + ] + }, + { + "id": "sc-34_obj_3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34[3](b)" + } + ], + "prose": [ + "\u003cp\u003eloads and executes organization-defined applications from hardware-enforced, read-only media.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing non-modifiable executable programs\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003elist of operating system components to be loaded from hardware-enforced, read-only media\u003c/p\u003e", + "\u003cp\u003elist of applications to be loaded from hardware-enforced, read-only media\u003c/p\u003e", + "\u003cp\u003emedia used to load and execute information system operating environment\u003c/p\u003e", + "\u003cp\u003emedia used to load and execute information system applications\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing loading and executing the operating environment from hardware-enforced, read-only media\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing loading and executing applications from hardware-enforced, read-only media\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-34.1", + "class": "SP800-53-enhancement", + "title": "No Writable Storage", + "params": [ + { + "id": "sc-34.1_prm_1", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-34 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sc-34.1_prm_1\"/\u003e with no writeable storage that is persistent across component restart or power on/off.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement: (i) eliminates the possibility of malicious code insertion via persistent, writeable storage within the designated information system components; and (ii) applies to both fixed and removable storage, with the latter being addressed directly or as specific restrictions imposed through access controls for mobile devices.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-19" + }, + { + "rel": "related", + "href": "#mp-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-34.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components to be employed with no writeable storage; and\u003c/p\u003e" + ] + }, + { + "id": "sc-34.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined information system components with no writeable storage that is persistent across component restart or power on/off.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing non-modifiable executable programs\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003elist of information system components to be employed without writeable storage capability\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing employment of components with no writeable storage\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing persistent non-writeable storage across component restart and power on/off\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-34.2", + "class": "SP800-53-enhancement", + "title": "Integrity Protection / Read-only Media", + "props": [ + { + "class": "name", + "value": "SC-34 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization protects the integrity of information prior to storage on read-only media and controls the media after such information has been recorded onto the media.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity safeguards prevent the substitution of media into information systems or the reprogramming of programmable read-only media prior to installation into the systems. Security safeguards include, for example, a combination of prevention, detection, and response.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-5" + }, + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-5" + }, + { + "rel": "related", + "href": "#cm-9" + }, + { + "rel": "related", + "href": "#mp-2" + }, + { + "rel": "related", + "href": "#mp-4" + }, + { + "rel": "related", + "href": "#mp-5" + }, + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#sc-28" + }, + { + "rel": "related", + "href": "#si-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-34.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34(2)[1]" + } + ], + "prose": [ + "\u003cp\u003eprotects the integrity of the information prior to storage on read-only media; and\u003c/p\u003e" + ] + }, + { + "id": "sc-34.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34(2)[2]" + } + ], + "prose": [ + "\u003cp\u003econtrols the media after such information has been recorded onto the media.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing non-modifiable executable programs\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing capability for protecting information integrity on read-only media prior to storage and after information has been recorded onto the media\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-34.3", + "class": "SP800-53-enhancement", + "title": "Hardware-based Protection", + "params": [ + { + "id": "sc-34.3_prm_1", + "label": "organization-defined information system firmware components" + }, + { + "id": "sc-34.3_prm_2", + "label": "organization-defined authorized individuals" + } + ], + "props": [ + { + "class": "name", + "value": "SC-34 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-34.3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-34 (3)(a)" + } + ], + "prose": [ + "\u003cp\u003eEmploys hardware-based, write-protect for \u003cinsert param-id=\"sc-34.3_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "sc-34.3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-34 (3)(b)" + } + ], + "prose": [ + "\u003cp\u003eImplements specific procedures for \u003cinsert param-id=\"sc-34.3_prm_2\"/\u003e to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-34.3_obj_3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34(3)(a)" + } + ], + "parts": [ + { + "id": "sc-34.3_obj_3.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34(3)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system firmware components for which hardware-based, write-protection is to be employed;\u003c/p\u003e" + ] + }, + { + "id": "sc-34.3_obj_3.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34(3)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys hardware-based, write-protection for organization-defined information system firmware components;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-34.3_obj_3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34(3)(b)" + } + ], + "parts": [ + { + "id": "sc-34.3_obj_3.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34(3)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines individuals authorized to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode; and\u003c/p\u003e" + ] + }, + { + "id": "sc-34.3_obj_3.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-34(3)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eimplements specific procedures for organization-defined authorized individuals to manually disable hardware write-protect for firmware modifications and re-enable the write-protect prior to returning to operational mode.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing firmware modifications\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for modifying firmware\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing hardware-based, write-protection for firmware\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-35", + "class": "SP800-53", + "title": "Honeyclients", + "props": [ + { + "class": "name", + "value": "SC-35" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHoneyclients differ from honeypots in that the components actively probe the Internet in search of malicious code (e.g., worms) contained on external websites. As with honeypots, honeyclients require some supporting isolation measures (e.g., virtualization) to ensure that any malicious code discovered during the search and subsequently executed does not infect organizational information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-26" + }, + { + "rel": "related", + "href": "#sc-44" + }, + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system includes components that proactively seek to identify malicious websites and/or web-based malicious code.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing honeyclients\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system components deployed to identify malicious websites and/or web-based malicious code\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing honeyclients\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-36", + "class": "SP800-53", + "title": "Distributed Processing and Storage", + "params": [ + { + "id": "sc-36_prm_1", + "label": "organization-defined processing and storage" + } + ], + "props": [ + { + "class": "name", + "value": "SC-36" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization distributes \u003cinsert param-id=\"sc-36_prm_1\"/\u003e across multiple physical locations.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDistributing processing and storage across multiple physical locations provides some degree of redundancy or overlap for organizations, and therefore increases the work factor of adversaries to adversely impact organizational operations, assets, and individuals. This control does not assume a single primary processing or storage location, and thus allows for parallel processing and storage.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-6" + }, + { + "rel": "related", + "href": "#cp-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-36_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-36[1]" + } + ], + "prose": [ + "\u003cp\u003edefines processing and storage to be distributed across multiple physical locations; and\u003c/p\u003e" + ] + }, + { + "id": "sc-36_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-36[2]" + } + ], + "prose": [ + "\u003cp\u003edistributes organization-defined processing and storage across multiple physical locations.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003econtingency planning policy and procedures\u003c/p\u003e", + "\u003cp\u003econtingency plan\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003elist of information system physical locations (or environments) with distributed processing and storage\u003c/p\u003e", + "\u003cp\u003einformation system facility diagrams\u003c/p\u003e", + "\u003cp\u003eprocessing site agreements\u003c/p\u003e", + "\u003cp\u003estorage site agreements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with contingency planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for distributing processing and storage across multiple physical locations\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing capability for distributing processing and storage across multiple physical locations\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-36.1", + "class": "SP800-53-enhancement", + "title": "Polling Techniques", + "params": [ + { + "id": "sc-36.1_prm_1", + "label": "organization-defined distributed processing and storage components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-36 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs polling techniques to identify potential faults, errors, or compromises to \u003cinsert param-id=\"sc-36.1_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDistributed processing and/or storage may be employed to reduce opportunities for adversaries to successfully compromise the confidentiality, integrity, or availability of information and information systems. However, distribution of processing and/or storage components does not prevent adversaries from compromising one (or more) of the distributed components. Polling compares the processing results and/or storage content from the various distributed components and subsequently voting on the outcomes. Polling identifies potential faults, errors, or compromises in distributed processing and/or storage components.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-36.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-36(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines distributed processing and storage components for which polling techniques are to be employed to identify potential faults, errors, or compromises; and\u003c/p\u003e" + ] + }, + { + "id": "sc-36.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-36(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys polling techniques to identify potential faults, errors, or compromises to organization-defined distributed processing and storage components.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003elist of distributed processing and storage components subject to polling\u003c/p\u003e", + "\u003cp\u003einformation system polling techniques and associated documentation or records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing polling techniques\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-37", + "class": "SP800-53", + "title": "Out-of-band Channels", + "params": [ + { + "id": "sc-37_prm_1", + "label": "organization-defined out-of-band channels" + }, + { + "id": "sc-37_prm_2", + "label": "organization-defined information, information system components, or devices" + }, + { + "id": "sc-37_prm_3", + "label": "organization-defined individuals or information systems" + } + ], + "props": [ + { + "class": "name", + "value": "SC-37" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sc-37_prm_1\"/\u003e for the physical delivery or electronic transmission of \u003cinsert param-id=\"sc-37_prm_2\"/\u003e to \u003cinsert param-id=\"sc-37_prm_3\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOut-of-band channels include, for example, local (nonnetwork) accesses to information systems, network paths physically separate from network paths used for operational traffic, or nonelectronic paths such as the US Postal Service. This is in contrast with using the same channels (i.e., in-band channels) that carry routine operational traffic. Out-of-band channels do not have the same vulnerability/exposure as in-band channels, and hence the confidentiality, integrity, or availability compromises of in-band channels will not compromise the out-of-band channels. Organizations may employ out-of-band channels in the delivery or transmission of many organizational items including, for example, identifiers/authenticators, configuration management changes for hardware, firmware, or software, cryptographic key management information, security updates, system/data backups, maintenance information, and malicious code protection updates.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-5" + }, + { + "rel": "related", + "href": "#cm-7" + }, + { + "rel": "related", + "href": "#ia-4" + }, + { + "rel": "related", + "href": "#ia-5" + }, + { + "rel": "related", + "href": "#ma-4" + }, + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-4" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-37_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-37[1]" + } + ], + "prose": [ + "\u003cp\u003edefines out-of-band channels to be employed for the physical delivery or electronic transmission of information, information system components, or devices to individuals or information systems;\u003c/p\u003e" + ] + }, + { + "id": "sc-37_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-37[2]" + } + ], + "prose": [ + "\u003cp\u003edefines information, information system components, or devices for which physical delivery or electronic transmission of such information, information system components, or devices to individuals or information systems requires employment of organization-defined out-of-band channels;\u003c/p\u003e" + ] + }, + { + "id": "sc-37_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-37[3]" + } + ], + "prose": [ + "\u003cp\u003edefines individuals or information systems to which physical delivery or electronic transmission of organization-defined information, information system components, or devices is to be achieved via employment of organization-defined out-of-band channels; and\u003c/p\u003e" + ] + }, + { + "id": "sc-37_obj_4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-37[4]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined out-of-band channels for the physical delivery or electronic transmission of organization-defined information, information system components, or devices to organization-defined individuals or information systems.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing use of out-of-band channels\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eidentification and authentication policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of out-of-band channels\u003c/p\u003e", + "\u003cp\u003etypes of information, information system components, or devices requiring use of out-of-band channels for physical delivery or electronic transmission to authorized individuals or information systems\u003c/p\u003e", + "\u003cp\u003ephysical delivery records\u003c/p\u003e", + "\u003cp\u003eelectronic transmission records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for use of out-of-band channels\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing use of out-of-band channels\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-37.1", + "class": "SP800-53-enhancement", + "title": "Ensure Delivery / Transmission", + "params": [ + { + "id": "sc-37.1_prm_1", + "label": "organization-defined security safeguards" + }, + { + "id": "sc-37.1_prm_2", + "label": "organization-defined individuals or information systems" + }, + { + "id": "sc-37.1_prm_3", + "label": "organization-defined information, information system components, or devices" + } + ], + "props": [ + { + "class": "name", + "value": "SC-37 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sc-37.1_prm_1\"/\u003e to ensure that only \u003cinsert param-id=\"sc-37.1_prm_2\"/\u003e receive the \u003cinsert param-id=\"sc-37.1_prm_3\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTechniques and/or methods employed by organizations to ensure that only designated information systems or individuals receive particular information, system components, or devices include, for example, sending authenticators via courier service but requiring recipients to show some form of government-issued photographic identification as a condition of receipt.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-37.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-37(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines security safeguards to be employed to ensure that only designated individuals or information systems receive specific information, information system components, or devices;\u003c/p\u003e" + ] + }, + { + "id": "sc-37.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-37(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines individuals or information systems designated to receive specific information, information system components, or devices;\u003c/p\u003e" + ] + }, + { + "id": "sc-37.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-37(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines information, information system components, or devices that only organization-defined individuals or information systems are designated to receive; and\u003c/p\u003e" + ] + }, + { + "id": "sc-37.1_obj_1.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-37(1)[4]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined security safeguards to ensure that only organization-defined individuals or information systems receive the organization-defined information, information system components, or devices.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing use of out-of-band channels\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eidentification and authentication policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of security safeguards to be employed to ensure designated individuals or information systems receive organization-defined information, information system components, or devices\u003c/p\u003e", + "\u003cp\u003elist of security safeguards for delivering designated information, information system components, or devices to designated individuals or information systems\u003c/p\u003e", + "\u003cp\u003elist of information, information system components, or devices to be delivered to designated individuals or information systems\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel authorizing, installing, configuring, operating, and/or using out-of-band channels\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for use of out-of-band channels\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing use of out-of-band channels\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting/implementing safeguards to ensure delivery of designated information, system components, or devices\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-38", + "class": "SP800-53", + "title": "Operations Security", + "params": [ + { + "id": "sc-38_prm_1", + "label": "organization-defined operations security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SC-38" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs \u003cinsert param-id=\"sc-38_prm_1\"/\u003e to protect key organizational information throughout the system development life cycle.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOperations security (OPSEC) is a systematic process by which potential adversaries can be denied information about the capabilities and intentions of organizations by identifying, controlling, and protecting generally unclassified information that specifically relates to the planning and execution of sensitive organizational activities. The OPSEC process involves five steps: (i) identification of critical information (e.g., the security categorization process); (ii) analysis of threats; (iii) analysis of vulnerabilities; (iv) assessment of risks; and (v) the application of appropriate countermeasures. OPSEC safeguards are applied to both organizational information systems and the environments in which those systems operate. OPSEC safeguards help to protect the confidentiality of key information including, for example, limiting the sharing of information with suppliers and potential suppliers of information system components, information technology products and services, and with other non-organizational elements and individuals. Information critical to mission/business success includes, for example, user identities, element uses, suppliers, supply chain processes, functional and security requirements, system design specifications, testing protocols, and security control implementation details.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ra-2" + }, + { + "rel": "related", + "href": "#ra-5" + }, + { + "rel": "related", + "href": "#sa-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-38_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-38[1]" + } + ], + "prose": [ + "\u003cp\u003edefines operations security safeguards to be employed to protect key organizational information throughout the system development life cycle; and\u003c/p\u003e" + ] + }, + { + "id": "sc-38_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-38[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined operations security safeguards to protect key organizational information throughout the system development life cycle.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing operations security\u003c/p\u003e", + "\u003cp\u003esecurity plan\u003c/p\u003e", + "\u003cp\u003elist of operations security safeguards\u003c/p\u003e", + "\u003cp\u003esecurity control assessments\u003c/p\u003e", + "\u003cp\u003erisk assessments\u003c/p\u003e", + "\u003cp\u003ethreat and vulnerability assessments\u003c/p\u003e", + "\u003cp\u003eplans of action and milestones\u003c/p\u003e", + "\u003cp\u003esystem development life cycle documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for protecting organizational information throughout the SDLC\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing safeguards to protect organizational information throughout the SDLC\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-39", + "class": "SP800-53", + "title": "Process Isolation", + "props": [ + { + "class": "name", + "value": "SC-39" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system maintains a separate execution domain for each executing process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each information system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. This capability is available in most commercial operating systems that employ multi-state processor technologies.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#sa-4" + }, + { + "rel": "related", + "href": "#sa-5" + }, + { + "rel": "related", + "href": "#sa-8" + }, + { + "rel": "related", + "href": "#sc-2" + }, + { + "rel": "related", + "href": "#sc-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system maintains a separate execution domain for each executing process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003eindependent verification and validation documentation\u003c/p\u003e", + "\u003cp\u003etesting and evaluation documentation, other relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system developers/integrators\u003c/p\u003e", + "\u003cp\u003einformation system security architect\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing separate execution domains for each executing process\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-39.1", + "class": "SP800-53-enhancement", + "title": "Hardware Separation", + "props": [ + { + "class": "name", + "value": "SC-39 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements underlying hardware separation mechanisms to facilitate process separation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eHardware-based separation of information system processes is generally less susceptible to compromise than software-based separation, thus providing greater assurance that the separation will be enforced. Underlying hardware separation mechanisms include, for example, hardware memory management.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system implements underlying hardware separation mechanisms to facilitate process separation.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system documentation for hardware separation mechanisms\u003c/p\u003e", + "\u003cp\u003einformation system documentation from vendors, manufacturers or developers\u003c/p\u003e", + "\u003cp\u003eindependent verification and validation documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system capability implementing underlying hardware separation mechanisms for process separation\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-39.2", + "class": "SP800-53-enhancement", + "title": "Thread Isolation", + "params": [ + { + "id": "sc-39.2_prm_1", + "label": "organization-defined multi-threaded processing" + } + ], + "props": [ + { + "class": "name", + "value": "SC-39 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system maintains a separate execution domain for each thread in \u003cinsert param-id=\"sc-39.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-39.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-39(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines multi-threaded processing for which a separate execution domain is to be maintained for each thread in multi-threaded processing; and\u003c/p\u003e" + ] + }, + { + "id": "sc-39.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-39(2)[2]" + } + ], + "prose": [ + "\u003cp\u003emaintains a separate execution domain for each thread in organization-defined multi-threaded processing.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003elist of information system execution domains for each thread in multi-threaded processing\u003c/p\u003e", + "\u003cp\u003einformation system documentation for multi-threaded processing\u003c/p\u003e", + "\u003cp\u003einformation system documentation from vendors, manufacturers or developers\u003c/p\u003e", + "\u003cp\u003eindependent verification and validation documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003einformation system developers/integrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation system capability implementing a separate execution domain for each thread in multi-threaded processing\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-40", + "class": "SP800-53", + "title": "Wireless Link Protection", + "params": [ + { + "id": "sc-40_prm_1", + "label": "organization-defined wireless links" + }, + { + "id": "sc-40_prm_2", + "label": "organization-defined types of signal parameter attacks or references to sources for such attacks" + } + ], + "props": [ + { + "class": "name", + "value": "SC-40" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system protects external and internal \u003cinsert param-id=\"sc-40_prm_1\"/\u003e from \u003cinsert param-id=\"sc-40_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control applies to internal and external wireless communication links that may be visible to individuals who are not authorized information system users. Adversaries can exploit the signal parameters of wireless links if such links are not adequately protected. There are many ways to exploit the signal parameters of wireless links to gain intelligence, deny service, or to spoof users of organizational information systems. This control reduces the impact of attacks that are unique to wireless systems. If organizations rely on commercial service providers for transmission services as commodity items rather than as fully dedicated services, it may not be possible to implement this control.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#sc-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-40_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-40[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-40_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-40[1][a]" + } + ], + "prose": [ + "\u003cp\u003einternal wireless links to be protected from particular types of signal parameter attacks;\u003c/p\u003e" + ] + }, + { + "id": "sc-40_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-40[1][b]" + } + ], + "prose": [ + "\u003cp\u003eexternal wireless links to be protected from particular types of signal parameter attacks;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-40_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-40[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines types of signal parameter attacks or references to sources for such attacks that are based upon exploiting the signal parameters of organization-defined internal and external wireless links; and\u003c/p\u003e" + ] + }, + { + "id": "sc-40_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-40[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system protects internal and external organization-defined wireless links from organization-defined types of signal parameter attacks or references to sources for such attacks.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing wireless link protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003elist or internal and external wireless links\u003c/p\u003e", + "\u003cp\u003elist of signal parameter attacks or references to sources for attacks\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing protection of wireless links\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-40.1", + "class": "SP800-53-enhancement", + "title": "Electromagnetic Interference", + "params": [ + { + "id": "sc-40.1_prm_1", + "label": "organization-defined level of protection" + } + ], + "props": [ + { + "class": "name", + "value": "SC-40 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements cryptographic mechanisms that achieve \u003cinsert param-id=\"sc-40.1_prm_1\"/\u003e against the effects of intentional electromagnetic interference.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects against intentional jamming that might deny or impair communications by ensuring that wireless spread spectrum waveforms used to provide anti-jam protection are not predictable by unauthorized individuals. The control enhancement may also coincidentally help to mitigate the effects of unintentional jamming due to interference from legitimate transmitters sharing the same spectrum. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine levels of wireless link availability and performance/cryptography needed.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-40.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-40(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines level of protection to be employed against the effects of intentional electromagnetic interference; and\u003c/p\u003e" + ] + }, + { + "id": "sc-40.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-40(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system employs cryptographic mechanisms that achieve organization-defined level of protection against the effects of intentional electromagnetic interference.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing wireless link protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system communications hardware and software\u003c/p\u003e", + "\u003cp\u003esecurity categorization results\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eCryptographic mechanisms enforcing protections against effects of intentional electromagnetic interference\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-40.2", + "class": "SP800-53-enhancement", + "title": "Reduce Detection Potential", + "params": [ + { + "id": "sc-40.2_prm_1", + "label": "organization-defined level of reduction" + } + ], + "props": [ + { + "class": "name", + "value": "SC-40 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements cryptographic mechanisms to reduce the detection potential of wireless links to \u003cinsert param-id=\"sc-40.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement is needed for covert communications and protecting wireless transmitters from being geo-located by their transmissions. The control enhancement ensures that spread spectrum waveforms used to achieve low probability of detection are not predictable by unauthorized individuals. Mission requirements, projected threats, concept of operations, and applicable legislation, directives, regulations, policies, standards, and guidelines determine the levels to which wireless links should be undetectable.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-40.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-40(2)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines level of reduction to be achieved to reduce the detection potential of wireless links; and\u003c/p\u003e" + ] + }, + { + "id": "sc-40.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-40(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements cryptographic mechanisms to reduce the detection potential of wireless links to organization-defined level of reduction.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing wireless link protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system communications hardware and software\u003c/p\u003e", + "\u003cp\u003esecurity categorization results\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eCryptographic mechanisms enforcing protections to reduce detection of wireless links\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-40.3", + "class": "SP800-53-enhancement", + "title": "Imitative or Manipulative Communications Deception", + "props": [ + { + "class": "name", + "value": "SC-40 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements cryptographic mechanisms to identify and reject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement ensures that the signal parameters of wireless transmissions are not predictable by unauthorized individuals. Such unpredictability reduces the probability of imitative or manipulative communications deception based upon signal parameters alone.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system implements cryptographic mechanisms to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-40.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-40(3)[1]" + } + ], + "prose": [ + "\u003cp\u003eidentify wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters; and\u003c/p\u003e" + ] + }, + { + "id": "sc-40.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-40(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ereject wireless transmissions that are deliberate attempts to achieve imitative or manipulative communications deception based on signal parameters.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system design documentation\u003c/p\u003e", + "\u003cp\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system communications hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eCryptographic mechanisms enforcing wireless link protections against imitative or manipulative communications deception\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-40.4", + "class": "SP800-53-enhancement", + "title": "Signal Parameter Identification", + "params": [ + { + "id": "sc-40.4_prm_1", + "label": "organization-defined wireless transmitters" + } + ], + "props": [ + { + "class": "name", + "value": "SC-40 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements cryptographic mechanisms to prevent the identification of \u003cinsert param-id=\"sc-40.4_prm_1\"/\u003e by using the transmitter signal parameters.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eRadio fingerprinting techniques identify the unique signal parameters of transmitters to fingerprint such transmitters for purposes of tracking and mission/user identification. This control enhancement protects against the unique identification of wireless transmitters for purposes of intelligence exploitation by ensuring that anti-fingerprinting alterations to signal parameters are not predictable by unauthorized individuals. This control enhancement helps assure mission success when anonymity is required.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-40.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-40(4)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines wireless transmitters for which cryptographic mechanisms are to be implemented to prevent identification of such transmitters by using the transmitter signal parameters; and\u003c/p\u003e" + ] + }, + { + "id": "sc-40.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-40(4)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements cryptographic mechanisms to prevent the identification of organization-defined wireless transmitters by using the transmitter signal parameters.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system design documentation\u003c/p\u003e", + "\u003cp\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system communications hardware and software\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel authorizing, installing, configuring and/or maintaining internal and external wireless links\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eCryptographic mechanisms preventing the identification of wireless transmitters\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-41", + "class": "SP800-53", + "title": "Port and I/O Device Access", + "params": [ + { + "id": "sc-41_prm_1", + "label": "organization-defined connection ports or input/output devices" + }, + { + "id": "sc-41_prm_2", + "label": "organization-defined information systems or information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-41" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization physically disables or removes \u003cinsert param-id=\"sc-41_prm_1\"/\u003e on \u003cinsert param-id=\"sc-41_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eConnection ports include, for example, Universal Serial Bus (USB) and Firewire (IEEE 1394). Input/output (I/O) devices include, for example, Compact Disk (CD) and Digital Video Disk (DVD) drives. Physically disabling or removing such connection ports and I/O devices helps prevent exfiltration of information from information systems and the introduction of malicious code into systems from those ports/devices.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-41_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-41[1]" + } + ], + "prose": [ + "\u003cp\u003edefines connection ports or input/output devices to be physically disabled or removed on information systems or information system components;\u003c/p\u003e" + ] + }, + { + "id": "sc-41_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-41[2]" + } + ], + "prose": [ + "\u003cp\u003edefines information systems or information system components with organization-defined connection ports or input/output devices that are to be physically disabled or removed; and\u003c/p\u003e" + ] + }, + { + "id": "sc-41_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-41[3]" + } + ], + "prose": [ + "\u003cp\u003ephysically disables or removes organization-defined connection ports or input/output devices on organization-defined information systems or information system components.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing port and input/output device access\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation systems or information system components list of connection ports or input/output devices to be physically disabled or removed on information systems or information system components\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing disabling of connection ports or input/output devices\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-42", + "class": "SP800-53", + "title": "Sensor Capability and Data", + "params": [ + { + "id": "sc-42_prm_1", + "label": "organization-defined exceptions where remote activation of sensors is allowed" + }, + { + "id": "sc-42_prm_2", + "label": "organization-defined class of users" + } + ], + "props": [ + { + "class": "name", + "value": "SC-42" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-42_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-42a." + } + ], + "prose": [ + "\u003cp\u003eProhibits the remote activation of environmental sensing capabilities with the following exceptions: \u003cinsert param-id=\"sc-42_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "sc-42_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-42b." + } + ], + "prose": [ + "\u003cp\u003eProvides an explicit indication of sensor use to \u003cinsert param-id=\"sc-42_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control often applies to types of information systems or system components characterized as mobile devices, for example, smart phones, tablets, and E-readers. These systems often include sensors that can collect and record data regarding the environment where the system is in use. Sensors that are embedded within mobile devices include, for example, cameras, microphones, Global Positioning System (GPS) mechanisms, and accelerometers. While the sensors on mobiles devices provide an important function, if activated covertly, such devices can potentially provide a means for adversaries to learn valuable information about individuals and organizations. For example, remotely activating the GPS function on a mobile device could provide an adversary with the ability to track the specific movements of an individual.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-42_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-42(a)" + } + ], + "parts": [ + { + "id": "sc-42_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-42(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines exceptions where remote activation of sensors is to be allowed;\u003c/p\u003e" + ] + }, + { + "id": "sc-42_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-42(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system prohibits the remote activation of sensors, except for organization-defined exceptions where remote activation of sensors is to be allowed;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "sc-42_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-42(b)" + } + ], + "parts": [ + { + "id": "sc-42_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-42(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines the class of users to whom an explicit indication of sensor use is to be provided; and\u003c/p\u003e" + ] + }, + { + "id": "sc-42_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-42(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides an explicit indication of sensor use to the organization-defined class of users.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing sensor capability and data collection\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for sensor capability\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing access controls for remote activation of information system sensor capabilities\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing capability to indicate sensor use\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "sc-42.1", + "class": "SP800-53-enhancement", + "title": "Reporting to Authorized Individuals or Roles", + "params": [ + { + "id": "sc-42.1_prm_1", + "label": "organization-defined sensors" + } + ], + "props": [ + { + "class": "name", + "value": "SC-42 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that the information system is configured so that data or information collected by the \u003cinsert param-id=\"sc-42.1_prm_1\"/\u003e is only reported to authorized individuals or roles.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn situations where sensors are activated by authorized individuals (e.g., end users), it is still possible that the data/information collected by the sensors will be sent to unauthorized entities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-42.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-42(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines sensors to be used to collect data or information only reported to authorized individuals or roles; and\u003c/p\u003e" + ] + }, + { + "id": "sc-42.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-42(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that the information system is configured so that data or information collected by the organization-defined sensors is only reported to authorized individuals or roles.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing sensor capability and data collection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for sensor capability\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms restricting reporting of sensor information only to those authorized\u003c/p\u003e", + "\u003cp\u003esensor data collection and reporting capability for the information system\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-42.2", + "class": "SP800-53-enhancement", + "title": "Authorized Use", + "params": [ + { + "id": "sc-42.2_prm_1", + "label": "organization-defined measures" + }, + { + "id": "sc-42.2_prm_2", + "label": "organization-defined sensors" + } + ], + "props": [ + { + "class": "name", + "value": "SC-42 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs the following measures: \u003cinsert param-id=\"sc-42.2_prm_1\"/\u003e, so that data or information collected by \u003cinsert param-id=\"sc-42.2_prm_2\"/\u003e is only used for authorized purposes.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation collected by sensors for a specific authorized purpose potentially could be misused for some unauthorized purpose. For example, GPS sensors that are used to support traffic navigation could be misused to track movements of individuals. Measures to mitigate such activities include, for example, additional training to ensure that authorized parties do not abuse their authority, or (in the case where sensor data/information is maintained by external parties) contractual restrictions on the use of the data/information.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-42.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-42(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines measures to be employed so that data or information collected by sensors is only used for authorized purposes;\u003c/p\u003e" + ] + }, + { + "id": "sc-42.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-42(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines sensors to be used to collect data or information for authorized purposes only; and\u003c/p\u003e" + ] + }, + { + "id": "sc-42.2_obj_2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-42(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined measures so that data or information collected by organization-defined sensors is only used for authorized purposes.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003esensor capability and data collection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003elist of measures to be employed to ensure data or information collected by sensors is only used for authorized purposes\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for sensor capability\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing measures to ensure sensor information is only used for authorized purposes\u003c/p\u003e", + "\u003cp\u003esensor information collection capability for the information system\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-42.3", + "class": "SP800-53-enhancement", + "title": "Prohibit Use of Devices", + "params": [ + { + "id": "sc-42.3_prm_1", + "label": "organization-defined environmental sensing capabilities" + }, + { + "id": "sc-42.3_prm_2", + "label": "organization-defined facilities, areas, or systems" + } + ], + "props": [ + { + "class": "name", + "value": "SC-42 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization prohibits the use of devices possessing \u003cinsert param-id=\"sc-42.3_prm_1\"/\u003e in \u003cinsert param-id=\"sc-42.3_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFor example, organizations may prohibit individuals from bringing cell phones or digital cameras into certain facilities or specific controlled areas within facilities where classified information is stored or sensitive conversations are taking place.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-42.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-42(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines environmental sensing capabilities to be prohibited from use in facilities, areas, or systems;\u003c/p\u003e" + ] + }, + { + "id": "sc-42.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-42(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines facilities, areas, or systems where the use of devices possessing organization-defined environmental sensing capabilities is to be prohibited; and\u003c/p\u003e" + ] + }, + { + "id": "sc-42.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-42(3)[3]" + } + ], + "prose": [ + "\u003cp\u003eprohibits the use of devices possessing organization-defined environmental sensing capabilities in organization-defined facilities, areas, or systems.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing sensor capability and data collection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003ewireless network diagrams\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system architecture\u003c/p\u003e", + "\u003cp\u003efacilities, areas, or systems where use of devices possessing environmental sensing capabilities is prohibited\u003c/p\u003e", + "\u003cp\u003elist of devices possessing environmental sensing capabilities\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for sensor capability\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "sc-43", + "class": "SP800-53", + "title": "Usage Restrictions", + "params": [ + { + "id": "sc-43_prm_1", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SC-43" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-43_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-43a." + } + ], + "prose": [ + "\u003cp\u003eEstablishes usage restrictions and implementation guidance for \u003cinsert param-id=\"sc-43_prm_1\"/\u003e based on the potential to cause damage to the information system if used maliciously; and\u003c/p\u003e" + ] + }, + { + "id": "sc-43_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SC-43b." + } + ], + "prose": [ + "\u003cp\u003eAuthorizes, monitors, and controls the use of such components within the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system components include hardware, software, or firmware components (e.g., Voice Over Internet Protocol, mobile code, digital copiers, printers, scanners, optical devices, wireless technologies, mobile devices).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#sc-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-43_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-43(a)" + } + ], + "parts": [ + { + "id": "sc-43_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-43(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components for which usage restrictions and implementation guidance are to be established;\u003c/p\u003e" + ] + }, + { + "id": "sc-43_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-43(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eestablishes, for organization-defined information system components:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-43_obj_a.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-43(a)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eusage restrictions based on the potential to cause damage to the information system if used maliciously;\u003c/p\u003e" + ] + }, + { + "id": "sc-43_obj_a.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-43(a)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eimplementation guidance based on the potential to cause damage to the information system if used maliciously;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-43_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-43(b)" + } + ], + "parts": [ + { + "id": "sc-43_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-43(b)[1]" + } + ], + "prose": [ + "\u003cp\u003eauthorizes the use of such components within the information system;\u003c/p\u003e" + ] + }, + { + "id": "sc-43_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-43(b)[2]" + } + ], + "prose": [ + "\u003cp\u003emonitors the use of such components within the information system; and\u003c/p\u003e" + ] + }, + { + "id": "sc-43_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-43(b)[3]" + } + ], + "prose": [ + "\u003cp\u003econtrols the use of such components within the information system.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing usage restrictions\u003c/p\u003e", + "\u003cp\u003eusage restrictions\u003c/p\u003e", + "\u003cp\u003eimplementation policy and procedures\u003c/p\u003e", + "\u003cp\u003eauthorization records\u003c/p\u003e", + "\u003cp\u003einformation system monitoring records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for authorizing, monitoring, and controlling use of components with usage restrictions\u003c/p\u003e", + "\u003cp\u003eAutomated mechanisms supporting and/or implementing authorizing, monitoring, and controlling use of components with usage restrictions\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "sc-44", + "class": "SP800-53", + "title": "Detonation Chambers", + "params": [ + { + "id": "sc-44_prm_1", + "label": "organization-defined information system, system component, or location" + } + ], + "props": [ + { + "class": "name", + "value": "SC-44" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs a detonation chamber capability within \u003cinsert param-id=\"sc-44_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDetonation chambers, also known as dynamic execution environments, allow organizations to open email attachments, execute untrusted or suspicious applications, and execute Universal Resource Locator (URL) requests in the safety of an isolated environment or virtualized sandbox. These protected and isolated execution environments provide a means of determining whether the associated attachments/applications contain malicious code. While related to the concept of deception nets, the control is not intended to maintain a long-term environment in which adversaries can operate and their actions can be observed. Rather, it is intended to quickly identify malicious code and reduce the likelihood that the code is propagated to user environments of operation (or prevent such propagation completely).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#sc-25" + }, + { + "rel": "related", + "href": "#sc-26" + }, + { + "rel": "related", + "href": "#sc-30" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "sc-44_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-44[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system, system component, or location where a detonation chamber capability is to be employed; and\u003c/p\u003e" + ] + }, + { + "id": "sc-44_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SC-44[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys a detonation chamber capability within organization-defined information system, system component, or location.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and communications protection policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing detonation chambers\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing detonation chamber capability\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "System and Information Integrity", + "controls": [ + { + "id": "si-1", + "class": "SP800-53", + "title": "System and Information Integrity Policy and Procedures", + "params": [ + { + "id": "si-1_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "si-1_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "si-1_prm_3", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops, documents, and disseminates to \u003cinsert param-id=\"si-1_prm_1\"/\u003e:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-1a.1." + } + ], + "prose": [ + "\u003cp\u003eA system and information integrity policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and\u003c/p\u003e" + ] + }, + { + "id": "si-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-1a.2." + } + ], + "prose": [ + "\u003cp\u003eProcedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews and updates the current:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-1_smt_b.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-1b.1." + } + ], + "prose": [ + "\u003cp\u003eSystem and information integrity policy \u003cinsert param-id=\"si-1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "si-1_smt_b.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-1b.2." + } + ], + "prose": [ + "\u003cp\u003eSystem and information integrity procedures \u003cinsert param-id=\"si-1_prm_3\"/\u003e.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)" + } + ], + "parts": [ + { + "id": "si-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents a system and information integrity policy that addresses:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-1_obj_a.1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003epurpose;\u003c/p\u003e" + ] + }, + { + "id": "si-1_obj_a.1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003escope;\u003c/p\u003e" + ] + }, + { + "id": "si-1_obj_a.1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "si-1_obj_a.1.1.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][d]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "si-1_obj_a.1.1.e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][e]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "si-1_obj_a.1.1.f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][f]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "si-1_obj_a.1.1.g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[1][g]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the system and information integrity policy is to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "si-1_obj_a.1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(1)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the system and information integrity policy to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)" + } + ], + "parts": [ + { + "id": "si-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops and documents procedures to facilitate the implementation of the system and information integrity policy and associated system and information integrity controls;\u003c/p\u003e" + ] + }, + { + "id": "si-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom the procedures are to be disseminated;\u003c/p\u003e" + ] + }, + { + "id": "si-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003edisseminates the procedures to organization-defined personnel or roles;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(b)(1)" + } + ], + "parts": [ + { + "id": "si-1_obj_b.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(b)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current system and information integrity policy;\u003c/p\u003e" + ] + }, + { + "id": "si-1_obj_b.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(b)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current system and information integrity policy with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(b)(2)" + } + ], + "parts": [ + { + "id": "si-1_obj_b.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(b)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the current system and information integrity procedures; and\u003c/p\u003e" + ] + }, + { + "id": "si-1_obj_b.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-1(b)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the current system and information integrity procedures with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy and procedures\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with system and information integrity responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "si-2", + "class": "SP800-53", + "title": "Flaw Remediation", + "params": [ + { + "id": "si-2_prm_1", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "SI-2" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-2_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-2a." + } + ], + "prose": [ + "\u003cp\u003eIdentifies, reports, and corrects information system flaws;\u003c/p\u003e" + ] + }, + { + "id": "si-2_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-2b." + } + ], + "prose": [ + "\u003cp\u003eTests software and firmware updates related to flaw remediation for effectiveness and potential side effects before installation;\u003c/p\u003e" + ] + }, + { + "id": "si-2_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-2c." + } + ], + "prose": [ + "\u003cp\u003eInstalls security-relevant software and firmware updates within \u003cinsert param-id=\"si-2_prm_1\"/\u003e of the release of the updates; and\u003c/p\u003e" + ] + }, + { + "id": "si-2_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-2d." + } + ], + "prose": [ + "\u003cp\u003eIncorporates flaw remediation into the organizational configuration management process.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-2" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-5" + }, + { + "rel": "related", + "href": "#cm-8" + }, + { + "rel": "related", + "href": "#ma-2" + }, + { + "rel": "related", + "href": "#ir-4" + }, + { + "rel": "related", + "href": "#ra-5" + }, + { + "rel": "related", + "href": "#sa-10" + }, + { + "rel": "related", + "href": "#sa-11" + }, + { + "rel": "related", + "href": "#si-11" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-2_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(a)" + } + ], + "parts": [ + { + "id": "si-2_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eidentifies information system flaws;\u003c/p\u003e" + ] + }, + { + "id": "si-2_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ereports information system flaws;\u003c/p\u003e" + ] + }, + { + "id": "si-2_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(a)[3]" + } + ], + "prose": [ + "\u003cp\u003ecorrects information system flaws;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-2_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(b)" + } + ], + "parts": [ + { + "id": "si-2_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(b)[1]" + } + ], + "prose": [ + "\u003cp\u003etests software updates related to flaw remediation for effectiveness and potential side effects before installation;\u003c/p\u003e" + ] + }, + { + "id": "si-2_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(b)[2]" + } + ], + "prose": [ + "\u003cp\u003etests firmware updates related to flaw remediation for effectiveness and potential side effects before installation;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-2_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(c)" + } + ], + "parts": [ + { + "id": "si-2_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period within which to install security-relevant software updates after the release of the updates;\u003c/p\u003e" + ] + }, + { + "id": "si-2_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(c)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period within which to install security-relevant firmware updates after the release of the updates;\u003c/p\u003e" + ] + }, + { + "id": "si-2_obj_c.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(c)[3]" + } + ], + "prose": [ + "\u003cp\u003einstalls software updates within the organization-defined time period of the release of the updates;\u003c/p\u003e" + ] + }, + { + "id": "si-2_obj_c.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(c)[4]" + } + ], + "prose": [ + "\u003cp\u003einstalls firmware updates within the organization-defined time period of the release of the updates; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-2_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(d)" + } + ], + "prose": [ + "\u003cp\u003eincorporates flaw remediation into the organizational configuration management process.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp\u003eprocedures addressing configuration management\u003c/p\u003e", + "\u003cp\u003elist of flaws and vulnerabilities potentially affecting the information system\u003c/p\u003e", + "\u003cp\u003elist of recent security flaw remediation actions performed on the information system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct information system flaws)\u003c/p\u003e", + "\u003cp\u003etest results from the installation of software and firmware updates to correct information system flaws\u003c/p\u003e", + "\u003cp\u003einstallation/change control records for security-relevant software and firmware updates\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with configuration management responsibility\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for identifying, reporting, and correcting information system flaws\u003c/p\u003e", + "\u003cp\u003eorganizational process for installing software and firmware updates\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing reporting, and correcting information system flaws\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing testing software and firmware updates\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "si-2.1", + "class": "SP800-53-enhancement", + "title": "Central Management", + "props": [ + { + "class": "name", + "value": "SI-2 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization centrally manages the flaw remediation process.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management is the organization-wide management and implementation of flaw remediation processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw remediation security controls.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization centrally manages the flaw remediation process.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting centralized management of flaw remediation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for central management of the flaw remediation process\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing central management of the flaw remediation process\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-2.2", + "class": "SP800-53-enhancement", + "title": "Automated Flaw Remediation Status", + "params": [ + { + "id": "si-2.2_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-2 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms \u003cinsert param-id=\"si-2.2_prm_1\"/\u003e to determine the state of information system components with regard to flaw remediation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#cm-6" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-2.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to employ automated mechanisms to determine the state of information system components with regard to flaw remediation; and\u003c/p\u003e" + ] + }, + { + "id": "si-2.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms with the organization-defined frequency to determine the state of information system components with regard to flaw remediation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting centralized management of flaw remediation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms used to determine the state of information system components with regard to flaw remediation\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-2.3", + "class": "SP800-53-enhancement", + "title": "Time to Remediate Flaws / Benchmarks for Corrective Actions", + "params": [ + { + "id": "si-2.3_prm_1", + "label": "organization-defined benchmarks" + } + ], + "props": [ + { + "class": "name", + "value": "SI-2 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-2.3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-2 (3)(a)" + } + ], + "prose": [ + "\u003cp\u003eMeasures the time between flaw identification and flaw remediation; and\u003c/p\u003e" + ] + }, + { + "id": "si-2.3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-2 (3)(b)" + } + ], + "prose": [ + "\u003cp\u003eEstablishes \u003cinsert param-id=\"si-2.3_prm_1\"/\u003e for taking corrective actions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement requires organizations to determine the current time it takes on the average to correct information system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by type of flaw and/or severity of the potential vulnerability if the flaw can be exploited.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-2.3_obj_3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(3)(a)" + } + ], + "prose": [ + "\u003cp\u003emeasures the time between flaw identification and flaw remediation;\u003c/p\u003e" + ] + }, + { + "id": "si-2.3_obj_3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(3)(b)" + } + ], + "parts": [ + { + "id": "si-2.3_obj_3.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(3)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines benchmarks for taking corrective actions; and\u003c/p\u003e" + ] + }, + { + "id": "si-2.3_obj_3.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(3)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eestablishes organization-defined benchmarks for taking corrective actions.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of benchmarks for taking corrective action on flaws identified\u003c/p\u003e", + "\u003cp\u003erecords providing time stamps of flaw identification and subsequent flaw remediation activities\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for identifying, reporting, and correcting information system flaws\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms used to measure the time between flaw identification and flaw remediation\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-2.4", + "class": "SP800-53-enhancement", + "title": "Automated Patch Management Tools", + "links": [ + { + "rel": "related", + "href": "#si-2" + } + ], + "props": [ + { + "class": "name", + "value": "SI-2 (4)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SI-2\u003c/i\u003e \u003ci\u003eIncorporated into SI-2\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-2.5", + "class": "SP800-53-enhancement", + "title": "Automatic Software / Firmware Updates", + "params": [ + { + "id": "si-2.5_prm_1", + "label": "organization-defined security-relevant software and firmware updates" + }, + { + "id": "si-2.5_prm_2", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SI-2 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization installs \u003cinsert param-id=\"si-2.5_prm_1\"/\u003e automatically to \u003cinsert param-id=\"si-2.5_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eDue to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates. Organizations must balance the need to ensure that the updates are installed as soon as possible with the need to maintain configuration management and with any mission or operational impacts that automatic updates might impose.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-2.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(5)[1]" + } + ], + "parts": [ + { + "id": "si-2.5_obj_5.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(5)[1][a]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components requiring security-relevant software updates to be automatically installed;\u003c/p\u003e" + ] + }, + { + "id": "si-2.5_obj_5.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(5)[1][b]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components requiring security-relevant firmware updates to be automatically installed;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-2.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(5)[2]" + } + ], + "parts": [ + { + "id": "si-2.5_obj_5.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(5)[2][a]" + } + ], + "prose": [ + "\u003cp\u003edefines security-relevant software updates to be automatically installed to organization-defined information system components;\u003c/p\u003e" + ] + }, + { + "id": "si-2.5_obj_5.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(5)[2][b]" + } + ], + "prose": [ + "\u003cp\u003edefines security-relevant firmware updates to be automatically installed to organization-defined information system components;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-2.5_obj_5.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(5)[3]" + } + ], + "parts": [ + { + "id": "si-2.5_obj_5.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(5)[3][a]" + } + ], + "prose": [ + "\u003cp\u003einstalls organization-defined security-relevant software updates automatically to organization-defined information system components; and\u003c/p\u003e" + ] + }, + { + "id": "si-2.5_obj_5.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(5)[3][b]" + } + ], + "prose": [ + "\u003cp\u003einstalls organization-defined security-relevant firmware updates automatically to organization-defined information system components.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting flaw remediation and automatic software/firmware updates\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of recent security-relevant software and firmware updates automatically installed to information system components\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms implementing automatic software/firmware updates\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-2.6", + "class": "SP800-53-enhancement", + "title": "Removal of Previous Versions of Software / Firmware", + "params": [ + { + "id": "si-2.6_prm_1", + "label": "organization-defined software and firmware components" + } + ], + "props": [ + { + "class": "name", + "value": "SI-2 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization removes \u003cinsert param-id=\"si-2.6_prm_1\"/\u003e after updated versions have been installed.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003ePrevious versions of software and/or firmware components that are not removed from the information system after updates have been installed may be exploited by adversaries. Some information technology products may remove older versions of software and/or firmware automatically from the information system.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-2.6_obj_6.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(6)[1]" + } + ], + "parts": [ + { + "id": "si-2.6_obj_6.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(6)[1][a]" + } + ], + "prose": [ + "\u003cp\u003edefines software components to be removed after updated versions have been installed;\u003c/p\u003e" + ] + }, + { + "id": "si-2.6_obj_6.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(6)[1][b]" + } + ], + "prose": [ + "\u003cp\u003edefines firmware components to be removed after updated versions have been installed;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-2.6_obj_6.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(6)[2]" + } + ], + "parts": [ + { + "id": "si-2.6_obj_6.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(6)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eremoves organization-defined software components after updated versions have been installed; and\u003c/p\u003e" + ] + }, + { + "id": "si-2.6_obj_6.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-2(6)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eremoves organization-defined firmware components after updated versions have been installed.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting flaw remediation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of software and firmware component removals after updated versions are installed\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for flaw remediation\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing removal of previous versions of software/firmware\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "si-3", + "class": "SP800-53", + "title": "Malicious Code Protection", + "params": [ + { + "id": "si-3_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "si-3_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "endpoint" + }, + { + "assignments": null, + "Value": "network entry/exit points" + } + ] + } + }, + { + "id": "si-3_prm_3", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "block malicious code" + }, + { + "assignments": null, + "Value": "quarantine malicious code" + }, + { + "assignments": null, + "Value": "send alert to administrator" + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "si-3_prm_4", + "dependsOn": "si-3_prm_3", + "label": "organization-defined action" + } + ], + "props": [ + { + "class": "name", + "value": "SI-3" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-3a." + } + ], + "prose": [ + "\u003cp\u003eEmploys malicious code protection mechanisms at information system entry and exit points to detect and eradicate malicious code;\u003c/p\u003e" + ] + }, + { + "id": "si-3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-3b." + } + ], + "prose": [ + "\u003cp\u003eUpdates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures;\u003c/p\u003e" + ] + }, + { + "id": "si-3_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-3c." + } + ], + "prose": [ + "\u003cp\u003eConfigures malicious code protection mechanisms to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-3_smt_c.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-3c.1." + } + ], + "prose": [ + "\u003cp\u003ePerform periodic scans of the information system \u003cinsert param-id=\"si-3_prm_1\"/\u003e and real-time scans of files from external sources at \u003cinsert param-id=\"si-3_prm_2\"/\u003e as the files are downloaded, opened, or executed in accordance with organizational security policy; and\u003c/p\u003e" + ] + }, + { + "id": "si-3_smt_c.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-3c.2." + } + ], + "prose": [ + "\u003cp\u003e \u003cinsert param-id=\"si-3_prm_3\"/\u003e in response to malicious code detection; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-3_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-3d." + } + ], + "prose": [ + "\u003cp\u003eAddresses the receipt of false positives during malicious code detection and eradication and the resulting potential impact on the availability of the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden in files using steganography. Malicious code can be transported by different means including, for example, web accesses, electronic mail, electronic mail attachments, and portable storage devices. Malicious code insertions occur through the exploitation of information system vulnerabilities. Malicious code protection mechanisms include, for example, anti-virus signature definitions and reputation-based technologies. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Pervasive configuration management and comprehensive software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions/business functions. Traditional malicious code protection mechanisms cannot always detect such code. In these situations, organizations rely instead on other safeguards including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, and/or actions in response to detection of maliciousness when attempting to open or execute files.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#mp-2" + }, + { + "rel": "related", + "href": "#sa-4" + }, + { + "rel": "related", + "href": "#sa-8" + }, + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#sa-13" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#sc-26" + }, + { + "rel": "related", + "href": "#sc-44" + }, + { + "rel": "related", + "href": "#si-2" + }, + { + "rel": "related", + "href": "#si-4" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-3_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(a)" + } + ], + "prose": [ + "\u003cp\u003eemploys malicious code protection mechanisms to detect and eradicate malicious code at information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-3_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eentry points;\u003c/p\u003e" + ] + }, + { + "id": "si-3_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eexit points;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-3_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(b)" + } + ], + "prose": [ + "\u003cp\u003eupdates malicious code protection mechanisms whenever new releases are available in accordance with organizational configuration management policy and procedures (as identified in CM-1);\u003c/p\u003e" + ] + }, + { + "id": "si-3_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(c)" + } + ], + "parts": [ + { + "id": "si-3_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency for malicious code protection mechanisms to perform periodic scans of the information system;\u003c/p\u003e" + ] + }, + { + "id": "si-3_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(c)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines action to be initiated by malicious protection mechanisms in response to malicious code detection;\u003c/p\u003e" + ] + }, + { + "id": "si-3_obj_c.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(c)[3]" + } + ], + "parts": [ + { + "id": "si-3_obj_c.3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](1)" + } + ], + "prose": [ + "\u003cp\u003econfigures malicious code protection mechanisms to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-3_obj_c.3.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](1)[a]" + } + ], + "prose": [ + "\u003cp\u003eperform periodic scans of the information system with the organization-defined frequency;\u003c/p\u003e" + ] + }, + { + "id": "si-3_obj_c.3.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](1)[b]" + } + ], + "prose": [ + "\u003cp\u003eperform real-time scans of files from external sources at endpoint and/or network entry/exit points as the files are downloaded, opened, or executed in accordance with organizational security policy;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-3_obj_c.3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)" + } + ], + "prose": [ + "\u003cp\u003econfigures malicious code protection mechanisms to do one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-3_obj_c.3.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[a]" + } + ], + "prose": [ + "\u003cp\u003eblock malicious code in response to malicious code detection;\u003c/p\u003e" + ] + }, + { + "id": "si-3_obj_c.3.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[b]" + } + ], + "prose": [ + "\u003cp\u003equarantine malicious code in response to malicious code detection;\u003c/p\u003e" + ] + }, + { + "id": "si-3_obj_c.3.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[c]" + } + ], + "prose": [ + "\u003cp\u003esend alert to administrator in response to malicious code detection; and/or\u003c/p\u003e" + ] + }, + { + "id": "si-3_obj_c.3.2.d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(c)[3](2)[d]" + } + ], + "prose": [ + "\u003cp\u003einitiate organization-defined action in response to malicious code detection;\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "si-3_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(d)" + } + ], + "parts": [ + { + "id": "si-3_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(d)[1]" + } + ], + "prose": [ + "\u003cp\u003eaddresses the receipt of false positives during malicious code detection and eradication; and\u003c/p\u003e" + ] + }, + { + "id": "si-3_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(d)[2]" + } + ], + "prose": [ + "\u003cp\u003eaddresses the resulting potential impact on the availability of the information system.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003econfiguration management policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp\u003erecords of malicious code protection updates\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003escan results from malicious code protection mechanisms\u003c/p\u003e", + "\u003cp\u003erecord of actions initiated by malicious code protection mechanisms in response to malicious code detection\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with configuration management responsibility\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for employing, updating, and configuring malicious code protection mechanisms\u003c/p\u003e", + "\u003cp\u003eorganizational process for addressing false positives and resulting potential impact\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing employing, updating, and configuring malicious code protection mechanisms\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing malicious code scanning and subsequent actions\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "si-3.1", + "class": "SP800-53-enhancement", + "title": "Central Management", + "props": [ + { + "class": "name", + "value": "SI-3 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization centrally manages malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management is the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw malicious code protection security controls.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#si-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization centrally manages malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting centralized management of malicious code protection mechanisms\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for central management of malicious code protection mechanisms\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing central management of malicious code protection mechanisms\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-3.2", + "class": "SP800-53-enhancement", + "title": "Automatic Updates", + "props": [ + { + "class": "name", + "value": "SI-3 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system automatically updates malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMalicious code protection mechanisms include, for example, signature definitions. Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system automatically updates malicious code protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting centralized management of malicious code protection mechanisms\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing automatic updates to malicious code protection capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-3.3", + "class": "SP800-53-enhancement", + "title": "Non-privileged Users", + "links": [ + { + "rel": "related", + "href": "#ac-6.10" + } + ], + "props": [ + { + "class": "name", + "value": "SI-3 (3)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into AC-6 (10)\u003c/i\u003e \u003ci\u003eIncorporated into AC-6 (10)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-3.4", + "class": "SP800-53-enhancement", + "title": "Updates Only by Privileged Users", + "props": [ + { + "class": "name", + "value": "SI-3 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system updates malicious code protection mechanisms only when directed by a privileged user.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement may be appropriate for situations where for reasons of security or operational continuity, updates are only applied when selected/approved by designated organizational personnel.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#cm-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system updates malicious code protection mechanisms only when directed by a privileged user.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp\u003erecords of malicious code protection updates\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-3.5", + "class": "SP800-53-enhancement", + "title": "Portable Storage Devices", + "links": [ + { + "rel": "related", + "href": "#mp-7" + } + ], + "props": [ + { + "class": "name", + "value": "SI-3 (5)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into MP-7\u003c/i\u003e \u003ci\u003eIncorporated into MP-7\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-3.6", + "class": "SP800-53-enhancement", + "title": "Testing / Verification", + "params": [ + { + "id": "si-3.6_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-3 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-3.6_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-3 (6)(a)" + } + ], + "prose": [ + "\u003cp\u003eTests malicious code protection mechanisms \u003cinsert param-id=\"si-3.6_prm_1\"/\u003e by introducing a known benign, non-spreading test case into the information system; and\u003c/p\u003e" + ] + }, + { + "id": "si-3.6_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-3 (6)(b)" + } + ], + "prose": [ + "\u003cp\u003eVerifies that both detection of the test case and associated incident reporting occur.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ca-2" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#ra-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-3.6_obj_6.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(6)(a)" + } + ], + "parts": [ + { + "id": "si-3.6_obj_6.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(6)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to test malicious code protection mechanisms;\u003c/p\u003e" + ] + }, + { + "id": "si-3.6_obj_6.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(6)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003etests malicious code protection mechanisms with the organization-defined frequency by introducing a known benign, non-spreading test case into the information system;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-3.6_obj_6.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(6)(b)" + } + ], + "parts": [ + { + "id": "si-3.6_obj_6.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(6)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003everifies that detection of the test case occurs; and\u003c/p\u003e" + ] + }, + { + "id": "si-3.6_obj_6.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(6)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003everifies that associated incident reporting occurs.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003etest cases\u003c/p\u003e", + "\u003cp\u003erecords providing evidence of test cases executed on malicious code protection mechanisms\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing testing and verification of malicious code protection capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-3.7", + "class": "SP800-53-enhancement", + "title": "Nonsignature-based Detection", + "props": [ + { + "class": "name", + "value": "SI-3 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements nonsignature-based malicious code detection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eNonsignature-based detection mechanisms include, for example, the use of heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide safeguards against malicious code for which signatures do not yet exist or for which existing signatures may not be effective. This includes polymorphic malicious code (i.e., code that changes signatures when it replicates). This control enhancement does not preclude the use of signature-based detection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system implements non signature-based malicious code detection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp\u003erecords of malicious code protection updates\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing nonsignature-based malicious code protection capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-3.8", + "class": "SP800-53-enhancement", + "title": "Detect Unauthorized Commands", + "params": [ + { + "id": "si-3.8_prm_1", + "label": "organization-defined unauthorized operating system commands" + }, + { + "id": "si-3.8_prm_2", + "label": "organization-defined information system hardware components" + }, + { + "id": "si-3.8_prm_3", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "issues a warning" + }, + { + "assignments": null, + "Value": "audits the command execution" + }, + { + "assignments": null, + "Value": "prevents the execution of the command" + } + ] + } + } + ], + "props": [ + { + "class": "name", + "value": "SI-3 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system detects \u003cinsert param-id=\"si-3.8_prm_1\"/\u003e through the kernel application programming interface at \u003cinsert param-id=\"si-3.8_prm_2\"/\u003e and \u003cinsert param-id=\"si-3.8_prm_3\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement can also be applied to critical interfaces other than kernel-based interfaces, including for example, interfaces with virtual machines and privileged applications. Unauthorized operating system commands include, for example, commands for kernel functions from information system processes that are not trusted to initiate such commands, or commands for kernel functions that are suspicious even though commands of that type are reasonable for processes to initiate. Organizations can define the malicious commands to be detected by a combination of command types, command classes, or specific instances of commands. Organizations can define hardware components by specific component, component type, location in the network, or combination therein. Organizations may select different actions for different types/classes/specific instances of potentially malicious commands.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-3.8_obj_8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(8)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines unauthorized operating system commands to be detected by the information system;\u003c/p\u003e" + ] + }, + { + "id": "si-3.8_obj_8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(8)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information system hardware components for which organization-defined unauthorized operating system commands are to be detected through the kernel application programming interface;\u003c/p\u003e" + ] + }, + { + "id": "si-3.8_obj_8.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(8)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system detects organization-defined unauthorized operating system commands through the kernel application programming interface at organization-defined information system hardware components, and does one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-3.8_obj_8.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(8)[3][a]" + } + ], + "prose": [ + "\u003cp\u003eissues a warning;\u003c/p\u003e" + ] + }, + { + "id": "si-3.8_obj_8.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(8)[3][b]" + } + ], + "prose": [ + "\u003cp\u003eaudits the command execution; and/or\u003c/p\u003e" + ] + }, + { + "id": "si-3.8_obj_8.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(8)[3][c]" + } + ], + "prose": [ + "\u003cp\u003eprevents the execution of the command.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp\u003ewarning messages sent upon detection of unauthorized operating system command execution\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing detection of unauthorized operating system commands through the kernel application programming interface\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-3.9", + "class": "SP800-53-enhancement", + "title": "Authenticate Remote Commands", + "params": [ + { + "id": "si-3.9_prm_1", + "label": "organization-defined security safeguards" + }, + { + "id": "si-3.9_prm_2", + "label": "organization-defined remote commands" + } + ], + "props": [ + { + "class": "name", + "value": "SI-3 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements \u003cinsert param-id=\"si-3.9_prm_1\"/\u003e to authenticate \u003cinsert param-id=\"si-3.9_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement protects against unauthorized commands and replay of authorized commands. This capability is important for those remote information systems whose loss, malfunction, misdirection, or exploitation would have immediate and/or serious consequences (e.g., injury or death, property damage, loss of high-valued assets or sensitive information, or failure of important missions/business functions). Authentication safeguards for remote commands help to ensure that information systems accept and execute in the order intended, only authorized commands, and that unauthorized commands are rejected. Cryptographic mechanisms can be employed, for example, to authenticate remote commands.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-12" + }, + { + "rel": "related", + "href": "#sc-13" + }, + { + "rel": "related", + "href": "#sc-23" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-3.9_obj_9.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(9)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security safeguards to be implemented by the information system to authenticate organization-defined remote commands;\u003c/p\u003e" + ] + }, + { + "id": "si-3.9_obj_9.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(9)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines remote commands to be authenticated by organization-defined security safeguards; and\u003c/p\u003e" + ] + }, + { + "id": "si-3.9_obj_9.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(9)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements organization-defined security safeguards to authenticate organization-defined remote commands.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003emalicious code protection mechanisms\u003c/p\u003e", + "\u003cp\u003ewarning messages sent upon detection of unauthorized operating system command execution\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms implementing authentication of remote commands\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing security safeguards to authenticate remote commands\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-3.10", + "class": "SP800-53-enhancement", + "title": "Malicious Code Analysis", + "params": [ + { + "id": "si-3.10_prm_1", + "label": "organization-defined tools and techniques" + } + ], + "props": [ + { + "class": "name", + "value": "SI-3 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-3.10_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-3 (10)(a)" + } + ], + "prose": [ + "\u003cp\u003eEmploys \u003cinsert param-id=\"si-3.10_prm_1\"/\u003e to analyze the characteristics and behavior of malicious code; and\u003c/p\u003e" + ] + }, + { + "id": "si-3.10_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-3 (10)(b)" + } + ], + "prose": [ + "\u003cp\u003eIncorporates the results from malicious code analysis into organizational incident response and flaw remediation processes.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe application of selected malicious code analysis tools and techniques provides organizations with a more in-depth understanding of adversary tradecraft (i.e., tactics, techniques, and procedures) and the functionality and purpose of specific instances of malicious code. Understanding the characteristics of malicious code facilitates more effective organizational responses to current and future threats. Organizations can conduct malicious code analyses by using reverse engineering techniques or by monitoring the behavior of executing code.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-3.10_obj_10.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(10)(a)" + } + ], + "parts": [ + { + "id": "si-3.10_obj_10.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(10)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines tools and techniques to be employed to analyze the characteristics and behavior of malicious code;\u003c/p\u003e" + ] + }, + { + "id": "si-3.10_obj_10.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(10)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys organization-defined tools and techniques to analyze the characteristics and behavior of malicious code; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-3.10_obj_10.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-3(10)(b)" + } + ], + "prose": [ + "\u003cp\u003eincorporates the results from malicious code analysis into incident response and flaw remediate processes.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing malicious code protection\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident response\u003c/p\u003e", + "\u003cp\u003eprocedures addressing flaw remediation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003emalicious code protection mechanisms, tools, and techniques\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eresults from malicious code analyses\u003c/p\u003e", + "\u003cp\u003erecords of flaw remediation events resulting from malicious code analyses\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for malicious code protection\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for flaw remediation\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for incident response/management\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational process for incident response\u003c/p\u003e", + "\u003cp\u003eorganizational process for flaw remediation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing malicious code protection capability\u003c/p\u003e", + "\u003cp\u003etools and techniques for analysis of malicious code characteristics and behavior\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "si-4", + "class": "SP800-53", + "title": "Information System Monitoring", + "params": [ + { + "id": "si-4_prm_1", + "label": "organization-defined monitoring objectives" + }, + { + "id": "si-4_prm_2", + "label": "organization-defined techniques and methods" + }, + { + "id": "si-4_prm_3", + "label": "organization-defined information system monitoring information" + }, + { + "id": "si-4_prm_4", + "label": "organization-defined personnel or roles" + }, + { + "id": "si-4_prm_5", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "as needed" + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "si-4_prm_6", + "dependsOn": "si-4_prm_5", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-4a." + } + ], + "prose": [ + "\u003cp\u003eMonitors the information system to detect:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-4a.1." + } + ], + "prose": [ + "\u003cp\u003eAttacks and indicators of potential attacks in accordance with \u003cinsert param-id=\"si-4_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "si-4_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-4a.2." + } + ], + "prose": [ + "\u003cp\u003eUnauthorized local, network, and remote connections;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-4b." + } + ], + "prose": [ + "\u003cp\u003eIdentifies unauthorized use of the information system through \u003cinsert param-id=\"si-4_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "si-4_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-4c." + } + ], + "prose": [ + "\u003cp\u003eDeploys monitoring devices:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4_smt_c.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-4c.1." + } + ], + "prose": [ + "\u003cp\u003eStrategically within the information system to collect organization-determined essential information; and\u003c/p\u003e" + ] + }, + { + "id": "si-4_smt_c.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-4c.2." + } + ], + "prose": [ + "\u003cp\u003eAt ad hoc locations within the system to track specific types of transactions of interest to the organization;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-4_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-4d." + } + ], + "prose": [ + "\u003cp\u003eProtects information obtained from intrusion-monitoring tools from unauthorized access, modification, and deletion;\u003c/p\u003e" + ] + }, + { + "id": "si-4_smt_e", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-4e." + } + ], + "prose": [ + "\u003cp\u003eHeightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;\u003c/p\u003e" + ] + }, + { + "id": "si-4_smt_f", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-4f." + } + ], + "prose": [ + "\u003cp\u003eObtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations; and\u003c/p\u003e" + ] + }, + { + "id": "si-4_smt_g", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-4g." + } + ], + "prose": [ + "\u003cp\u003eProvides \u003cinsert param-id=\"si-4_prm_3\"/\u003e to \u003cinsert param-id=\"si-4_prm_4\"/\u003e \u003cinsert param-id=\"si-4_prm_5\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-4" + }, + { + "rel": "related", + "href": "#ac-8" + }, + { + "rel": "related", + "href": "#ac-17" + }, + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#au-7" + }, + { + "rel": "related", + "href": "#au-9" + }, + { + "rel": "related", + "href": "#au-12" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#ir-4" + }, + { + "rel": "related", + "href": "#pe-3" + }, + { + "rel": "related", + "href": "#ra-5" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#sc-26" + }, + { + "rel": "related", + "href": "#sc-35" + }, + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(a)" + } + ], + "parts": [ + { + "id": "si-4_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)" + } + ], + "parts": [ + { + "id": "si-4_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines monitoring objectives to detect attacks and indicators of potential attacks on the information system;\u003c/p\u003e" + ] + }, + { + "id": "si-4_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003emonitors the information system to detect, in accordance with organization-defined monitoring objectives,:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4_obj_a.1.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eattacks;\u003c/p\u003e" + ] + }, + { + "id": "si-4_obj_a.1.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(a)(1)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eindicators of potential attacks;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)" + } + ], + "prose": [ + "\u003cp\u003emonitors the information system to detect unauthorized:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003elocal connections;\u003c/p\u003e" + ] + }, + { + "id": "si-4_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003enetwork connections;\u003c/p\u003e" + ] + }, + { + "id": "si-4_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003eremote connections;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(b)" + } + ], + "parts": [ + { + "id": "si-4_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(b)(1)" + } + ], + "prose": [ + "\u003cp\u003edefines techniques and methods to identify unauthorized use of the information system;\u003c/p\u003e" + ] + }, + { + "id": "si-4_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(b)(2)" + } + ], + "prose": [ + "\u003cp\u003eidentifies unauthorized use of the information system through organization-defined techniques and methods;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-4_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(c)" + } + ], + "prose": [ + "\u003cp\u003edeploys monitoring devices:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(c)[1]" + } + ], + "prose": [ + "\u003cp\u003estrategically within the information system to collect organization-determined essential information;\u003c/p\u003e" + ] + }, + { + "id": "si-4_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(c)[2]" + } + ], + "prose": [ + "\u003cp\u003eat ad hoc locations within the system to track specific types of transactions of interest to the organization;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-4_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(d)" + } + ], + "prose": [ + "\u003cp\u003eprotects information obtained from intrusion-monitoring tools from unauthorized:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(d)[1]" + } + ], + "prose": [ + "\u003cp\u003eaccess;\u003c/p\u003e" + ] + }, + { + "id": "si-4_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(d)[2]" + } + ], + "prose": [ + "\u003cp\u003emodification;\u003c/p\u003e" + ] + }, + { + "id": "si-4_obj_d.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(d)[3]" + } + ], + "prose": [ + "\u003cp\u003edeletion;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-4_obj_e", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(e)" + } + ], + "prose": [ + "\u003cp\u003eheightens the level of information system monitoring activity whenever there is an indication of increased risk to organizational operations and assets, individuals, other organizations, or the Nation based on law enforcement information, intelligence information, or other credible sources of information;\u003c/p\u003e" + ] + }, + { + "id": "si-4_obj_f", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(f)" + } + ], + "prose": [ + "\u003cp\u003eobtains legal opinion with regard to information system monitoring activities in accordance with applicable federal laws, Executive Orders, directives, policies, or regulations;\u003c/p\u003e" + ] + }, + { + "id": "si-4_obj_g", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(g)" + } + ], + "parts": [ + { + "id": "si-4_obj_g.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(g)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom information system monitoring information is to be provided;\u003c/p\u003e" + ] + }, + { + "id": "si-4_obj_g.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(g)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines information system monitoring information to be provided to organization-defined personnel or roles;\u003c/p\u003e" + ] + }, + { + "id": "si-4_obj_g.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(g)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to provide organization-defined information system monitoring to organization-defined personnel or roles;\u003c/p\u003e" + ] + }, + { + "id": "si-4_obj_g.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(g)[4]" + } + ], + "prose": [ + "\u003cp\u003eprovides organization-defined information system monitoring information to organization-defined personnel or roles one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4_obj_g.4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(g)[4][a]" + } + ], + "prose": [ + "\u003cp\u003eas needed; and/or\u003c/p\u003e" + ] + }, + { + "id": "si-4_obj_g.4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(g)[4][b]" + } + ], + "prose": [ + "\u003cp\u003ewith the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eContinuous monitoring strategy\u003c/p\u003e", + "\u003cp\u003esystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003efacility diagram/layout\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003elocations within information system where monitoring devices are deployed\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility monitoring the information system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing information system monitoring capability\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "si-4.1", + "class": "SP800-53-enhancement", + "title": "System-wide Intrusion Detection System", + "props": [ + { + "class": "name", + "value": "SI-4 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization connects and configures individual intrusion detection tools into an information system-wide intrusion detection system.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(1)[1]" + } + ], + "prose": [ + "\u003cp\u003econnects individual intrusion detection tools into an information system-wide intrusion detection system; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(1)[2]" + } + ], + "prose": [ + "\u003cp\u003econfigures individual intrusion detection tools into an information system-wide intrusion detection system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing intrusion detection capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.2", + "class": "SP800-53-enhancement", + "title": "Automated Tools for Real-time Analysis", + "props": [ + { + "class": "name", + "value": "SI-4 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated tools to support near real-time analysis of events.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomated tools include, for example, host-based, network-based, transport-based, or storage-based event monitoring tools or Security Information and Event Management (SIEM) technologies that provide real time analysis of alerts and/or notifications generated by organizational information systems.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated tools to support near real-time analysis of events.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for incident response/management\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for near real-time analysis of events\u003c/p\u003e", + "\u003cp\u003eorganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms/tools supporting and/or implementing analysis of events\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.3", + "class": "SP800-53-enhancement", + "title": "Automated Tool Integration", + "props": [ + { + "class": "name", + "value": "SI-4 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated tools to integrate intrusion detection tools into access control and flow control mechanisms for rapid response to attacks by enabling reconfiguration of these mechanisms in support of attack isolation and elimination.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization, for rapid response to attacks by enabling reconfiguration of intrusion detection tools in support of attack isolation and elimination, employs automated tools to integrate intrusion detection tools into:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(3)[1]" + } + ], + "prose": [ + "\u003cp\u003eaccess control mechanisms; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(3)[2]" + } + ], + "prose": [ + "\u003cp\u003eflow control mechanisms.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms/tools supporting and/or implementing access/flow control capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms/tools supporting and/or implementing integration of intrusion detection tools into access/flow control mechanisms\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.4", + "class": "SP800-53-enhancement", + "title": "Inbound and Outbound Communications Traffic", + "params": [ + { + "id": "si-4.4_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system monitors inbound and outbound communications traffic \u003cinsert param-id=\"si-4.4_prm_1\"/\u003e for unusual or unauthorized activities or conditions.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnusual/unauthorized activities or conditions related to information system inbound and outbound communications traffic include, for example, internal traffic that indicates the presence of malicious code within organizational information systems or propagating among system components, the unauthorized exporting of information, or signaling to external information systems. Evidence of malicious code is used to identify potentially compromised information systems or information system components.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.4_obj_4.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(4)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to monitor:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.4_obj_4.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(4)[1][a]" + } + ], + "prose": [ + "\u003cp\u003einbound communications traffic for unusual or unauthorized activities or conditions;\u003c/p\u003e" + ] + }, + { + "id": "si-4.4_obj_4.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(4)[1][b]" + } + ], + "prose": [ + "\u003cp\u003eoutbound communications traffic for unusual or unauthorized activities or conditions;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-4.4_obj_4.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(4)[2]" + } + ], + "prose": [ + "\u003cp\u003emonitors, with the organization-defined frequency:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.4_obj_4.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(4)[2][a]" + } + ], + "prose": [ + "\u003cp\u003einbound communications traffic for unusual or unauthorized activities or conditions; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.4_obj_4.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(4)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eoutbound communications traffic for unusual or unauthorized activities or conditions.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system protocols\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing intrusion detection capability/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing monitoring of inbound/outbound communications traffic\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.5", + "class": "SP800-53-enhancement", + "title": "System-generated Alerts", + "params": [ + { + "id": "si-4.5_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "si-4.5_prm_2", + "label": "organization-defined compromise indicators" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system alerts \u003cinsert param-id=\"si-4.5_prm_1\"/\u003e when the following indications of compromise or potential compromise occur: \u003cinsert param-id=\"si-4.5_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAlerts may be generated from a variety of sources, including, for example, audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the notification list can include, for example, system administrators, mission/business owners, system owners, or information system security officers.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-5" + }, + { + "rel": "related", + "href": "#pe-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(5)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines compromise indicators for the information system;\u003c/p\u003e" + ] + }, + { + "id": "si-4.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(5)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines personnel or roles to be alerted when indications of compromise or potential compromise occur; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.5_obj_5.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(5)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system alerts organization-defined personnel or roles when organization-defined compromise indicators occur.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ealerts/notifications generated based on compromise indicators\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing alerts for compromise indicators\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.6", + "class": "SP800-53-enhancement", + "title": "Restrict Non-privileged Users", + "links": [ + { + "rel": "related", + "href": "#ac-6.10" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (6)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into AC-6 (10)\u003c/i\u003e \u003ci\u003eIncorporated into AC-6 (10)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-4.7", + "class": "SP800-53-enhancement", + "title": "Automated Response to Suspicious Events", + "params": [ + { + "id": "si-4.7_prm_1", + "label": "organization-defined incident response personnel (identified by name and/or by role)" + }, + { + "id": "si-4.7_prm_2", + "label": "organization-defined least-disruptive actions to terminate suspicious events" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system notifies \u003cinsert param-id=\"si-4.7_prm_1\"/\u003e of detected suspicious events and takes \u003cinsert param-id=\"si-4.7_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLeast-disruptive actions may include, for example, initiating requests for human responses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.7_obj_7.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(7)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines incident response personnel (identified by name and/or by role) to be notified of detected suspicious events;\u003c/p\u003e" + ] + }, + { + "id": "si-4.7_obj_7.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(7)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines least-disruptive actions to be taken by the information system to terminate suspicious events;\u003c/p\u003e" + ] + }, + { + "id": "si-4.7_obj_7.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(7)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system notifies organization-defined incident response personnel of detected suspicious events; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.7_obj_7.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(7)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe information system takes organization-defined least-disruptive actions to terminate suspicious events.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ealerts/notifications generated based on detected suspicious events\u003c/p\u003e", + "\u003cp\u003erecords of actions taken to terminate suspicious events\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing notifications to incident response personnel\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing actions to terminate suspicious events\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.8", + "class": "SP800-53-enhancement", + "title": "Protection of Monitoring Information", + "links": [ + { + "rel": "related", + "href": "#si-4" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (8)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SI-4\u003c/i\u003e \u003ci\u003eIncorporated into SI-4\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-4.9", + "class": "SP800-53-enhancement", + "title": "Testing of Monitoring Tools", + "params": [ + { + "id": "si-4.9_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization tests intrusion-monitoring tools \u003cinsert param-id=\"si-4.9_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTesting intrusion-monitoring tools is necessary to ensure that the tools are operating correctly and continue to meet the monitoring objectives of organizations. The frequency of testing depends on the types of tools used by organizations and methods of deployment.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.9_obj_9.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(9)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to test intrusion-monitoring tools; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.9_obj_9.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(9)[2]" + } + ], + "prose": [ + "\u003cp\u003etests intrusion-monitoring tools with the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing testing of information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003edocumentation providing evidence of testing intrusion-monitoring tools\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing testing of intrusion-monitoring tools\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.10", + "class": "SP800-53-enhancement", + "title": "Visibility of Encrypted Communications", + "params": [ + { + "id": "si-4.10_prm_1", + "label": "organization-defined encrypted communications traffic" + }, + { + "id": "si-4.10_prm_2", + "label": "organization-defined information system monitoring tools" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization makes provisions so that \u003cinsert param-id=\"si-4.10_prm_1\"/\u003e is visible to \u003cinsert param-id=\"si-4.10_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations balance the potentially conflicting needs for encrypting communications traffic and for having insight into such traffic from a monitoring perspective. For some organizations, the need to ensure the confidentiality of communications traffic is paramount; for others, mission-assurance is of greater concern. Organizations determine whether the visibility requirement applies to internal encrypted traffic, encrypted traffic intended for external destinations, or a subset of the traffic types.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.10_obj_10.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(10)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines encrypted communications traffic required to be visible to information system monitoring tools;\u003c/p\u003e" + ] + }, + { + "id": "si-4.10_obj_10.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(10)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines information system monitoring tools to be provided access to organization-defined encrypted communications traffic; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.10_obj_10.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(10)[3]" + } + ], + "prose": [ + "\u003cp\u003emakes provisions so that organization-defined encrypted communications traffic is visible to organization-defined information system monitoring tools.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system protocols\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing visibility of encrypted communications traffic to monitoring tools\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.11", + "class": "SP800-53-enhancement", + "title": "Analyze Communications Traffic Anomalies", + "params": [ + { + "id": "si-4.11_prm_1", + "label": "organization-defined interior points within the system (e.g., subnetworks, subsystems)" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization analyzes outbound communications traffic at the external boundary of the information system and selected \u003cinsert param-id=\"si-4.11_prm_1\"/\u003e to discover anomalies.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAnomalies within organizational information systems include, for example, large file transfers, long-time persistent connections, unusual protocols and ports in use, and attempted communications with suspected malicious external addresses.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.11_obj_11.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(11)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines interior points within the system (e.g., subnetworks, subsystems) where communications traffic is to be analyzed;\u003c/p\u003e" + ] + }, + { + "id": "si-4.11_obj_11.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(11)[2]" + } + ], + "prose": [ + "\u003cp\u003eanalyzes outbound communications traffic to discover anomalies at:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.11_obj_11.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(11)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ethe external boundary of the information system; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.11_obj_11.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(11)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eselected organization-defined interior points within the system.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003enetwork diagram\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing analysis of communications traffic\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.12", + "class": "SP800-53-enhancement", + "title": "Automated Alerts", + "params": [ + { + "id": "si-4.12_prm_1", + "label": "organization-defined activities that trigger alerts" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to alert security personnel of the following inappropriate or unusual activities with security implications: \u003cinsert param-id=\"si-4.12_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement focuses on the security alerts generated by organizations and transmitted using automated means. In contrast to the alerts generated by information systems in SI-4 (5), which tend to focus on information sources internal to the systems (e.g., audit records), the sources of information for this enhancement can include other entities as well (e.g., suspicious activity reports, reports on potential insider threats).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#ia-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.12_obj_12.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(12)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines activities that trigger alerts to security personnel based on inappropriate or unusual activities with security implications; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.12_obj_12.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(12)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys automated mechanisms to alert security personnel of organization-defined activities that trigger alerts based on inappropriate or unusual activities with security implications.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of inappropriate or unusual activities (with security implications) that trigger alerts\u003c/p\u003e", + "\u003cp\u003ealerts/notifications provided to security personnel\u003c/p\u003e", + "\u003cp\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developers\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing automated alerts to security personnel\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.13", + "class": "SP800-53-enhancement", + "title": "Analyze Traffic / Event Patterns", + "props": [ + { + "class": "name", + "value": "SI-4 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.13_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-4 (13)(a)" + } + ], + "prose": [ + "\u003cp\u003eAnalyzes communications traffic/event patterns for the information system;\u003c/p\u003e" + ] + }, + { + "id": "si-4.13_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-4 (13)(b)" + } + ], + "prose": [ + "\u003cp\u003eDevelops profiles representing common traffic patterns and/or events; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.13_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-4 (13)(c)" + } + ], + "prose": [ + "\u003cp\u003eUses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and the number of false negatives.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.13_obj_13.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(13)(a)" + } + ], + "prose": [ + "\u003cp\u003eanalyzes communications traffic/event patterns for the information system;\u003c/p\u003e" + ] + }, + { + "id": "si-4.13_obj_13.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(13)(b)" + } + ], + "prose": [ + "\u003cp\u003edevelops profiles representing common traffic patterns and/or events;\u003c/p\u003e" + ] + }, + { + "id": "si-4.13_obj_13.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(13)(c)" + } + ], + "prose": [ + "\u003cp\u003euses the traffic/event profiles in tuning system-monitoring devices to reduce the number of false positives and false negatives.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of profiles representing common traffic patterns and/or events\u003c/p\u003e", + "\u003cp\u003einformation system protocols documentation\u003c/p\u003e", + "\u003cp\u003elist of acceptable thresholds for false positives and false negatives\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing analysis of communications traffic/event patterns\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.14", + "class": "SP800-53-enhancement", + "title": "Wireless Intrusion Detection", + "props": [ + { + "class": "name", + "value": "SI-4 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWireless signals may radiate beyond the confines of organization-controlled facilities. Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. Scans are not limited to those areas within facilities containing information systems, but also include areas outside of facilities as needed, to verify that unauthorized wireless access points are not connected to the systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-18" + }, + { + "rel": "related", + "href": "#ia-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs a wireless intrusion detection system to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.14_obj_14.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(14)[1]" + } + ], + "prose": [ + "\u003cp\u003eidentify rogue wireless devices;\u003c/p\u003e" + ] + }, + { + "id": "si-4.14_obj_14.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(14)[2]" + } + ], + "prose": [ + "\u003cp\u003edetect attack attempts to the information system; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.14_obj_14.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(14)[3]" + } + ], + "prose": [ + "\u003cp\u003edetect potential compromises/breaches to the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system protocols\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing wireless intrusion detection capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.15", + "class": "SP800-53-enhancement", + "title": "Wireless to Wireline Communications", + "props": [ + { + "class": "name", + "value": "SI-4 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#ac-18" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs an intrusion detection system to monitor wireless communications traffic as the traffic passes from wireless to wireline networks.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system protocols documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing wireless intrusion detection capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.16", + "class": "SP800-53-enhancement", + "title": "Correlate Monitoring Information", + "props": [ + { + "class": "name", + "value": "SI-4 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization correlates information from monitoring tools employed throughout the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCorrelating information from different monitoring tools can provide a more comprehensive view of information system activity. The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns. Understanding the capabilities/limitations of diverse monitoring tools and how to maximize the utility of information generated by those tools can help organizations to build, operate, and maintain effective monitoring programs.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization correlates information from monitoring tools employed throughout the information system.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eevent correlation logs or records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing correlation of information from monitoring tools\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.17", + "class": "SP800-53-enhancement", + "title": "Integrated Situational Awareness", + "props": [ + { + "class": "name", + "value": "SI-4 (17)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization correlates information from monitoring physical, cyber, and supply chain activities to achieve integrated, organization-wide situational awareness.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement correlates monitoring information from a more diverse set of information sources to achieve integrated situational awareness. Integrated situational awareness from a combination of physical, cyber, and supply chain monitoring activities enhances the capability of organizations to more quickly detect sophisticated cyber attacks and investigate the methods and techniques employed to carry out such attacks. In contrast to SI-4 (16) which correlates the various cyber monitoring information, this control enhancement correlates monitoring beyond just the cyber domain. Such monitoring may help reveal attacks on organizations that are operating across multiple attack vectors.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization, to achieve integrated, organization-wide situational awareness, correlates information from monitoring:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.17_obj_17.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(17)[1]" + } + ], + "prose": [ + "\u003cp\u003ephysical activities;\u003c/p\u003e" + ] + }, + { + "id": "si-4.17_obj_17.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(17)[2]" + } + ], + "prose": [ + "\u003cp\u003ecyber activities; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.17_obj_17.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(17)[3]" + } + ], + "prose": [ + "\u003cp\u003esupply chain activities.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eevent correlation logs or records resulting from physical, cyber, and supply chain activities\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing intrusion detection/system monitoring capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing correlation of information from monitoring tools\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.18", + "class": "SP800-53-enhancement", + "title": "Analyze Traffic / Covert Exfiltration", + "params": [ + { + "id": "si-4.18_prm_1", + "label": "organization-defined interior points within the system (e.g., subsystems, subnetworks)" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (18)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization analyzes outbound communications traffic at the external boundary of the information system (i.e., system perimeter) and at \u003cinsert param-id=\"si-4.18_prm_1\"/\u003e to detect covert exfiltration of information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCovert means that can be used for the unauthorized exfiltration of organizational information include, for example, steganography.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.18_obj_18.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(18)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines interior points within the system (e.g., subsystems, subnetworks) where communications traffic is to be analyzed;\u003c/p\u003e" + ] + }, + { + "id": "si-4.18_obj_18.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(18)[2]" + } + ], + "prose": [ + "\u003cp\u003eto detect covert exfiltration of information, analyzes outbound communications traffic at:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.18_obj_18.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(18)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ethe external boundary of the information system (i.e., system perimeter); and\u003c/p\u003e" + ] + }, + { + "id": "si-4.18_obj_18.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(18)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined interior points within the system.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003enetwork diagram\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for the intrusion detection system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for intrusion detection/information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing intrusion detection/system monitoring capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing analysis of outbound communications traffic\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.19", + "class": "SP800-53-enhancement", + "title": "Individuals Posing Greater Risk", + "params": [ + { + "id": "si-4.19_prm_1", + "label": "organization-defined additional monitoring" + }, + { + "id": "si-4.19_prm_2", + "label": "organization-defined sources" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (19)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements \u003cinsert param-id=\"si-4.19_prm_1\"/\u003e of individuals who have been identified by \u003cinsert param-id=\"si-4.19_prm_2\"/\u003e as posing an increased level of risk.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndications of increased risk from individuals can be obtained from a variety of sources including, for example, human resource records, intelligence agencies, law enforcement organizations, and/or other credible sources. The monitoring of individuals is closely coordinated with management, legal, security, and human resources officials within organizations conducting such monitoring and complies with federal legislation, Executive Orders, policies, directives, regulations, and standards.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.19_obj_19.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(19)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines sources that identify individuals who pose an increased level of risk;\u003c/p\u003e" + ] + }, + { + "id": "si-4.19_obj_19.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(19)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines additional monitoring to be implemented on individuals who have been identified by organization-defined sources as posing an increased level of risk; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.19_obj_19.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(19)[3]" + } + ], + "prose": [ + "\u003cp\u003eimplements organization-defined additional monitoring of individuals who have been identified by organization-defined sources as posing an increased level of risk.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003elist of individuals who have been identified as posing an increased level of risk\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.20", + "class": "SP800-53-enhancement", + "title": "Privileged Users", + "params": [ + { + "id": "si-4.20_prm_1", + "label": "organization-defined additional monitoring" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (20)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements \u003cinsert param-id=\"si-4.20_prm_1\"/\u003e of privileged users.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.20_obj_20.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(20)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines additional monitoring to be implemented on privileged users; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.20_obj_20.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(20)[2]" + } + ], + "prose": [ + "\u003cp\u003eimplements organization-defined additional monitoring of privileged users;\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003elist of privileged users\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.21", + "class": "SP800-53-enhancement", + "title": "Probationary Periods", + "params": [ + { + "id": "si-4.21_prm_1", + "label": "organization-defined additional monitoring" + }, + { + "id": "si-4.21_prm_2", + "label": "organization-defined probationary period" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (21)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements \u003cinsert param-id=\"si-4.21_prm_1\"/\u003e of individuals during \u003cinsert param-id=\"si-4.21_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.21_obj_21.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(21)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines additional monitoring to be implemented on individuals during probationary periods;\u003c/p\u003e" + ] + }, + { + "id": "si-4.21_obj_21.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(21)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines probationary period during which organization-defined additional monitoring of individuals is to be performed; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.21_obj_21.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(21)[3]" + } + ], + "prose": [ + "\u003cp\u003eimplements organization-defined additional monitoring of individuals during organization-defined probationary period.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.22", + "class": "SP800-53-enhancement", + "title": "Unauthorized Network Services", + "params": [ + { + "id": "si-4.22_prm_1", + "label": "organization-defined authorization or approval processes" + }, + { + "id": "si-4.22_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "audits" + }, + { + "assignments": null, + "Value": "alerts \n " + } + ] + } + }, + { + "id": "si-4.22_prm_3", + "dependsOn": "si-4.22_prm_2", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (22)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system detects network services that have not been authorized or approved by \u003cinsert param-id=\"si-4.22_prm_1\"/\u003e and \u003cinsert param-id=\"si-4.22_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnauthorized or unapproved network services include, for example, services in service-oriented architectures that lack organizational verification or validation and therefore may be unreliable or serve as malicious rogues for valid services.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#cm-7" + }, + { + "rel": "related", + "href": "#sa-5" + }, + { + "rel": "related", + "href": "#sa-9" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.22_obj_22.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(22)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines authorization or approval processes for network services;\u003c/p\u003e" + ] + }, + { + "id": "si-4.22_obj_22.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(22)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines personnel or roles to be alerted upon detection of network services that have not been authorized or approved by organization-defined authorization or approval processes;\u003c/p\u003e" + ] + }, + { + "id": "si-4.22_obj_22.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(22)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system detects network services that have not been authorized or approved by organization-defined authorization or approval processes and does one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.22_obj_22.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(22)[3][a]" + } + ], + "prose": [ + "\u003cp\u003eaudits; and/or\u003c/p\u003e" + ] + }, + { + "id": "si-4.22_obj_22.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(22)[3][b]" + } + ], + "prose": [ + "\u003cp\u003ealerts organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003edocumented authorization/approval of network services\u003c/p\u003e", + "\u003cp\u003enotifications or alerts of unauthorized network services\u003c/p\u003e", + "\u003cp\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring the information system\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for auditing network services\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms for providing alerts\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.23", + "class": "SP800-53-enhancement", + "title": "Host-based Devices", + "params": [ + { + "id": "si-4.23_prm_1", + "label": "organization-defined host-based monitoring mechanisms" + }, + { + "id": "si-4.23_prm_2", + "label": "organization-defined information system components" + } + ], + "props": [ + { + "class": "name", + "value": "SI-4 (23)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements \u003cinsert param-id=\"si-4.23_prm_1\"/\u003e at \u003cinsert param-id=\"si-4.23_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system components where host-based monitoring can be implemented include, for example, servers, workstations, and mobile devices. Organizations consider employing host-based monitoring mechanisms from multiple information technology product developers.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.23_obj_23.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(23)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines host-based monitoring mechanisms to be implemented;\u003c/p\u003e" + ] + }, + { + "id": "si-4.23_obj_23.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(23)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components where organization-defined host-based monitoring is to be implemented; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.23_obj_23.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(23)[3]" + } + ], + "prose": [ + "\u003cp\u003eimplements organization-defined host-based monitoring mechanisms at organization-defined information system components.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring tools and techniques\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003ehost-based monitoring mechanisms\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of information system components requiring host-based monitoring\u003c/p\u003e", + "\u003cp\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring information system hosts\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing host-based monitoring capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-4.24", + "class": "SP800-53-enhancement", + "title": "Indicators of Compromise", + "props": [ + { + "class": "name", + "value": "SI-4 (24)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system discovers, collects, distributes, and uses indicators of compromise.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIndicators of compromise (IOC) are forensic artifacts from intrusions that are identified on organizational information systems (at the host or network level). IOCs provide organizations with valuable information on objects or information systems that have been compromised. IOCs for the discovery of compromised hosts can include for example, the creation of registry key values. IOCs for network traffic include, for example, Universal Resource Locator (URL) or protocol elements that indicate malware command and control servers. The rapid distribution and adoption of IOCs can improve information security by reducing the time that information systems and organizations are vulnerable to the same exploit or attack.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-4.24_obj_24.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(24)[1]" + } + ], + "prose": [ + "\u003cp\u003ediscovers indicators of compromise;\u003c/p\u003e" + ] + }, + { + "id": "si-4.24_obj_24.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(24)[2]" + } + ], + "prose": [ + "\u003cp\u003ecollects indicators of compromise;\u003c/p\u003e" + ] + }, + { + "id": "si-4.24_obj_24.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(24)[3]" + } + ], + "prose": [ + "\u003cp\u003edistributes indicators of compromise; and\u003c/p\u003e" + ] + }, + { + "id": "si-4.24_obj_24.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-4(24)[4]" + } + ], + "prose": [ + "\u003cp\u003euses indicators of compromise.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system monitoring\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring tools and techniques documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system monitoring logs or records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel installing, configuring, and/or maintaining the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with responsibility for monitoring information system hosts\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for information system monitoring\u003c/p\u003e", + "\u003cp\u003eorganizational processes for discovery, collection, distribution, and use of indicators of compromise\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing system monitoring capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the discovery, collection, distribution, and use of indicators of compromise\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "si-5", + "class": "SP800-53", + "title": "Security Alerts, Advisories, and Directives", + "params": [ + { + "id": "si-5_prm_1", + "label": "organization-defined external organizations" + }, + { + "id": "si-5_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "\n \n " + }, + { + "assignments": null, + "Value": "\n \n " + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "si-5_prm_3", + "dependsOn": "si-5_prm_2", + "label": "organization-defined personnel or roles" + }, + { + "id": "si-5_prm_4", + "dependsOn": "si-5_prm_2", + "label": "organization-defined elements within the organization" + }, + { + "id": "si-5_prm_5", + "dependsOn": "si-5_prm_2", + "label": "organization-defined external organizations" + } + ], + "props": [ + { + "class": "name", + "value": "SI-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-5_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-5a." + } + ], + "prose": [ + "\u003cp\u003eReceives information system security alerts, advisories, and directives from \u003cinsert param-id=\"si-5_prm_1\"/\u003e on an ongoing basis;\u003c/p\u003e" + ] + }, + { + "id": "si-5_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-5b." + } + ], + "prose": [ + "\u003cp\u003eGenerates internal security alerts, advisories, and directives as deemed necessary;\u003c/p\u003e" + ] + }, + { + "id": "si-5_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-5c." + } + ], + "prose": [ + "\u003cp\u003eDisseminates security alerts, advisories, and directives to: \u003cinsert param-id=\"si-5_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "si-5_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-5d." + } + ], + "prose": [ + "\u003cp\u003eImplements security directives in accordance with established time frames, or notifies the issuing organization of the degree of noncompliance.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe United States Computer Emergency Readiness Team (US-CERT) generates security alerts and advisories to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include, for example, external mission/business partners, supply chain partners, external service providers, and other peer/supporting organizations.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-5_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(a)" + } + ], + "parts": [ + { + "id": "si-5_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines external organizations from whom information system security alerts, advisories and directives are to be received;\u003c/p\u003e" + ] + }, + { + "id": "si-5_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ereceives information system security alerts, advisories, and directives from organization-defined external organizations on an ongoing basis;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-5_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(b)" + } + ], + "prose": [ + "\u003cp\u003egenerates internal security alerts, advisories, and directives as deemed necessary;\u003c/p\u003e" + ] + }, + { + "id": "si-5_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(c)" + } + ], + "parts": [ + { + "id": "si-5_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom security alerts, advisories, and directives are to be provided;\u003c/p\u003e" + ] + }, + { + "id": "si-5_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(c)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines elements within the organization to whom security alerts, advisories, and directives are to be provided;\u003c/p\u003e" + ] + }, + { + "id": "si-5_obj_c.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(c)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines external organizations to whom security alerts, advisories, and directives are to be provided;\u003c/p\u003e" + ] + }, + { + "id": "si-5_obj_c.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(c)[4]" + } + ], + "prose": [ + "\u003cp\u003edisseminates security alerts, advisories, and directives to one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-5_obj_c.4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(c)[4][a]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined personnel or roles;\u003c/p\u003e" + ] + }, + { + "id": "si-5_obj_c.4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(c)[4][b]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined elements within the organization; and/or\u003c/p\u003e" + ] + }, + { + "id": "si-5_obj_c.4.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(c)[4][c]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined external organizations; and\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-5_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(d)" + } + ], + "parts": [ + { + "id": "si-5_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(d)[1]" + } + ], + "prose": [ + "\u003cp\u003eimplements security directives in accordance with established time frames; or\u003c/p\u003e" + ] + }, + { + "id": "si-5_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-5(d)[2]" + } + ], + "prose": [ + "\u003cp\u003enotifies the issuing organization of the degree of noncompliance.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security alerts, advisories, and directives\u003c/p\u003e", + "\u003cp\u003erecords of security alerts and advisories\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security alert and advisory responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel implementing, operating, maintaining, and using the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing definition, receipt, generation, and dissemination of security alerts, advisories, and directives\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing security directives\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "si-5.1", + "class": "SP800-53-enhancement", + "title": "Automated Alerts and Advisories", + "props": [ + { + "class": "name", + "value": "SI-5 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated mechanisms to make security alert and advisory information available throughout the organization.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe significant number of changes to organizational information systems and the environments in which those systems operate requires the dissemination of security-related information to a variety of organizational entities that have a direct interest in the success of organizational missions and business functions. Based on the information provided by the security alerts and advisories, changes may be required at one or more of the three tiers related to the management of information security risk including the governance level, mission/business process/enterprise architecture level, and the information system level.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs automated mechanisms to make security alert and advisory information available throughout the organization.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security alerts, advisories, and directives\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting the distribution of security alert and advisory information\u003c/p\u003e", + "\u003cp\u003erecords of security alerts and advisories\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security alert and advisory responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel implementing, operating, maintaining, and using the information system\u003c/p\u003e", + "\u003cp\u003eorganizational personnel, organizational elements, and/or external organizations to whom alerts and advisories are to be disseminated\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining, receiving, generating, and disseminating security alerts and advisories\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing dissemination of security alerts and advisories\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "si-6", + "class": "SP800-53", + "title": "Security Function Verification", + "params": [ + { + "id": "si-6_prm_1", + "label": "organization-defined security functions" + }, + { + "id": "si-6_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "\n \n " + }, + { + "assignments": null, + "Value": "upon command by user with appropriate privilege" + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "si-6_prm_3", + "dependsOn": "si-6_prm_2", + "label": "organization-defined system transitional states" + }, + { + "id": "si-6_prm_4", + "dependsOn": "si-6_prm_2", + "label": "organization-defined frequency" + }, + { + "id": "si-6_prm_5", + "label": "organization-defined personnel or roles" + }, + { + "id": "si-6_prm_6", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "shuts the information system down" + }, + { + "assignments": null, + "Value": "restarts the information system" + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "si-6_prm_7", + "dependsOn": "si-6_prm_6", + "label": "organization-defined alternative action(s)" + } + ], + "props": [ + { + "class": "name", + "value": "SI-6" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-6_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-6a." + } + ], + "prose": [ + "\u003cp\u003eVerifies the correct operation of \u003cinsert param-id=\"si-6_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "si-6_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-6b." + } + ], + "prose": [ + "\u003cp\u003ePerforms this verification \u003cinsert param-id=\"si-6_prm_2\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "si-6_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-6c." + } + ], + "prose": [ + "\u003cp\u003eNotifies \u003cinsert param-id=\"si-6_prm_5\"/\u003e of failed security verification tests; and\u003c/p\u003e" + ] + }, + { + "id": "si-6_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-6d." + } + ], + "prose": [ + "\u003cp\u003e \u003cinsert param-id=\"si-6_prm_6\"/\u003e when anomalies are discovered.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTransitional states for information systems include, for example, system startup, restart, shutdown, and abort. Notifications provided by information systems include, for example, electronic alerts to system administrators, messages to local computer consoles, and/or hardware indications such as lights.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cm-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-6_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(a)" + } + ], + "parts": [ + { + "id": "si-6_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security functions to be verified for correct operation;\u003c/p\u003e" + ] + }, + { + "id": "si-6_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system verifies the correct operation of organization-defined security functions;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-6_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(b)" + } + ], + "parts": [ + { + "id": "si-6_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines system transitional states requiring verification of organization-defined security functions;\u003c/p\u003e" + ] + }, + { + "id": "si-6_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines a frequency to verify the correct operation of organization-defined security functions;\u003c/p\u003e" + ] + }, + { + "id": "si-6_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(b)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system performs this verification one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-6_obj_b.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(b)[3][a]" + } + ], + "prose": [ + "\u003cp\u003eat organization-defined system transitional states;\u003c/p\u003e" + ] + }, + { + "id": "si-6_obj_b.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(b)[3][b]" + } + ], + "prose": [ + "\u003cp\u003eupon command by user with appropriate privilege; and/or\u003c/p\u003e" + ] + }, + { + "id": "si-6_obj_b.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(b)[3][c]" + } + ], + "prose": [ + "\u003cp\u003ewith the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-6_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(c)" + } + ], + "parts": [ + { + "id": "si-6_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(c)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines personnel or roles to be notified of failed security verification tests;\u003c/p\u003e" + ] + }, + { + "id": "si-6_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(c)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system notifies organization-defined personnel or roles of failed security verification tests;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-6_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(d)" + } + ], + "parts": [ + { + "id": "si-6_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(d)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines alternative action(s) to be performed when anomalies are discovered;\u003c/p\u003e" + ] + }, + { + "id": "si-6_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(d)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system performs one or more of the following actions when anomalies are discovered:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-6_obj_d.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(d)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eshuts the information system down;\u003c/p\u003e" + ] + }, + { + "id": "si-6_obj_d.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(d)[2][b]" + } + ], + "prose": [ + "\u003cp\u003erestarts the information system; and/or\u003c/p\u003e" + ] + }, + { + "id": "si-6_obj_d.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(d)[2][c]" + } + ], + "prose": [ + "\u003cp\u003eperforms organization-defined alternative action(s).\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + 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[ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SI-6\u003c/i\u003e \u003ci\u003eIncorporated into SI-6\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-6.2", + "class": "SP800-53-enhancement", + "title": "Automation Support for Distributed Testing", + "props": [ + { + "class": "name", + "value": "SI-6 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements automated mechanisms to support the management of distributed security testing.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#si-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system implements automated mechanisms to support the management of distributed security testing.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security function verification\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security function verification responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel implementing, operating, and maintaining the information system\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for security function verification\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the management of distributed security testing\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-6.3", + "class": "SP800-53-enhancement", + "title": "Report Verification Results", + "params": [ + { + "id": "si-6.3_prm_1", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SI-6 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization reports the results of security function verification to \u003cinsert param-id=\"si-6.3_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizational personnel with potential interest in security function verification results include, for example, senior information security officers, information system security managers, and information systems security officers.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#si-4" + }, + { + "rel": "related", + "href": "#si-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-6.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles designated to receive the results of security function verification; and\u003c/p\u003e" + ] + }, + { + "id": "si-6.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-6(3)[2]" + } + ], + "prose": [ + "\u003cp\u003ereports the results of security function verification to organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing security function verification\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of security function verification results\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with security function verification responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for reporting security function verification results\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the reporting of security function verification results\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "si-7", + "class": "SP800-53", + "title": "Software, Firmware, and Information Integrity", + "params": [ + { + "id": "si-7_prm_1", + "label": "organization-defined software, firmware, and information" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs integrity verification tools to detect unauthorized changes to \u003cinsert param-id=\"si-7_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnauthorized changes to software, firmware, and information can occur due to errors or malicious activity (e.g., tampering). Software includes, for example, operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes, for example, the Basic Input Output System (BIOS). Information includes metadata such as security attributes associated with information. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-12" + }, + { + "rel": "related", + "href": "#sc-8" + }, + { + "rel": "related", + "href": "#sc-13" + }, + { + "rel": "related", + "href": "#si-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7[1]" + } + ], + "parts": [ + { + "id": "si-7_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7[1][a]" + } + ], + "prose": [ + "\u003cp\u003edefines software requiring integrity verification tools to be employed to detect unauthorized changes;\u003c/p\u003e" + ] + }, + { + "id": "si-7_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7[1][b]" + } + ], + "prose": [ + "\u003cp\u003edefines firmware requiring integrity verification tools to be employed to detect unauthorized changes;\u003c/p\u003e" + ] + }, + { + "id": "si-7_obj_1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7[1][c]" + } + ], + "prose": [ + "\u003cp\u003edefines information requiring integrity verification tools to be employed to detect unauthorized changes;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-7_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys integrity verification tools to detect unauthorized changes to organization-defined:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7[2][a]" + } + ], + "prose": [ + "\u003cp\u003esoftware;\u003c/p\u003e" + ] + }, + { + "id": "si-7_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7[2][b]" + } + ], + "prose": [ + "\u003cp\u003efirmware; and\u003c/p\u003e" + ] + }, + { + "id": "si-7_obj_2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7[2][c]" + } + ], + "prose": [ + "\u003cp\u003einformation.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords generated/triggered from integrity verification tools regarding unauthorized software, firmware, and information changes\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "si-7.1", + "class": "SP800-53-enhancement", + "title": "Integrity Checks", + "params": [ + { + "id": "si-7.1_prm_1", + "label": "organization-defined software, firmware, and information" + }, + { + "id": "si-7.1_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "at startup" + }, + { + "assignments": null, + "Value": "at \n " + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "si-7.1_prm_3", + "dependsOn": "si-7.1_prm_2", + "label": "organization-defined transitional states or security-relevant events" + }, + { + "id": "si-7.1_prm_4", + "dependsOn": "si-7.1_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system performs an integrity check of \u003cinsert param-id=\"si-7.1_prm_1\"/\u003e \u003cinsert param-id=\"si-7.1_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity-relevant events include, for example, the identification of a new threat to which organizational information systems are susceptible, and the installation of new hardware, software, or firmware. Transitional states include, for example, system startup, restart, shutdown, and abort.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.1_obj_1.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[1][a]" + } + ], + "prose": [ + "\u003cp\u003esoftware requiring integrity checks to be performed;\u003c/p\u003e" + ] + }, + { + "id": "si-7.1_obj_1.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[1][b]" + } + ], + "prose": [ + "\u003cp\u003efirmware requiring integrity checks to be performed;\u003c/p\u003e" + ] + }, + { + "id": "si-7.1_obj_1.1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[1][c]" + } + ], + "prose": [ + "\u003cp\u003einformation requiring integrity checks to be performed;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-7.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines transitional states or security-relevant events requiring integrity checks of organization-defined:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.1_obj_1.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[2][a]" + } + ], + "prose": [ + "\u003cp\u003esoftware;\u003c/p\u003e" + ] + }, + { + "id": "si-7.1_obj_1.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[2][b]" + } + ], + "prose": [ + "\u003cp\u003efirmware;\u003c/p\u003e" + ] + }, + { + "id": "si-7.1_obj_1.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[2][c]" + } + ], + "prose": [ + "\u003cp\u003einformation;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-7.1_obj_1.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines a frequency with which to perform an integrity check of organization-defined:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.1_obj_1.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[3][a]" + } + ], + "prose": [ + "\u003cp\u003esoftware;\u003c/p\u003e" + ] + }, + { + "id": "si-7.1_obj_1.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[3][b]" + } + ], + "prose": [ + "\u003cp\u003efirmware;\u003c/p\u003e" + ] + }, + { + "id": "si-7.1_obj_1.3.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[3][c]" + } + ], + "prose": [ + "\u003cp\u003einformation;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-7.1_obj_1.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[4]" + } + ], + "prose": [ + "\u003cp\u003ethe information system performs an integrity check of organization-defined software, firmware, and information one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.1_obj_1.4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[4][a]" + } + ], + "prose": [ + "\u003cp\u003eat startup;\u003c/p\u003e" + ] + }, + { + "id": "si-7.1_obj_1.4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[4][b]" + } + ], + "prose": [ + "\u003cp\u003eat organization-defined transitional states or security-relevant events; and/or\u003c/p\u003e" + ] + }, + { + "id": "si-7.1_obj_1.4.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(1)[4][c]" + } + ], + "prose": [ + "\u003cp\u003ewith the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-7.2", + "class": "SP800-53-enhancement", + "title": "Automated Notifications of Integrity Violations", + "params": [ + { + "id": "si-7.2_prm_1", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs automated tools that provide notification to \u003cinsert param-id=\"si-7.2_prm_1\"/\u003e upon discovering discrepancies during integrity verification.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe use of automated tools to report integrity violations and to notify organizational personnel in a timely matter is an essential precursor to effective risk response. Personnel having an interest in integrity violations include, for example, mission/business owners, information system owners, systems administrators, software developers, systems integrators, and information security officers.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles to whom notification is to be provided upon discovering discrepancies during integrity verification; and\u003c/p\u003e" + ] + }, + { + "id": "si-7.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eemploys automated tools that provide notification to organization-defined personnel or roles upon discovering discrepancies during integrity verification.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp\u003eautomated tools supporting alerts and notifications for integrity discrepancies\u003c/p\u003e", + "\u003cp\u003ealerts/notifications provided upon discovering discrepancies during integrity verifications\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms providing integrity discrepancy notifications\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-7.3", + "class": "SP800-53-enhancement", + "title": "Centrally-managed Integrity Tools", + "props": [ + { + "class": "name", + "value": "SI-7 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization employs centrally managed integrity verification tools.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#au-3" + }, + { + "rel": "related", + "href": "#si-2" + }, + { + "rel": "related", + "href": "#si-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization employs centrally managed integrity verification tools.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for central management of integrity verification tools\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing central management of integrity verification tools\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-7.4", + "class": "SP800-53-enhancement", + "title": "Tamper-evident Packaging", + "links": [ + { + "rel": "related", + "href": "#sa-12" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7 (4)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SA-12\u003c/i\u003e \u003ci\u003eIncorporated into SA-12\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-7.5", + "class": "SP800-53-enhancement", + "title": "Automated Response to Integrity Violations", + "params": [ + { + "id": "si-7.5_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "shuts the information system down" + }, + { + "assignments": null, + "Value": "restarts the information system" + }, + { + "assignments": null, + "Value": "implements \n " + } + ] + } + }, + { + "id": "si-7.5_prm_2", + "dependsOn": "si-7.5_prm_1", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system automatically \u003cinsert param-id=\"si-7.5_prm_1\"/\u003e when integrity violations are discovered.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations may define different integrity checking and anomaly responses: (i) by type of information (e.g., firmware, software, user data); (ii) by specific information (e.g., boot firmware, boot firmware for a specific types of machines); or (iii) a combination of both. Automatic implementation of specific safeguards within organizational information systems includes, for example, reversing the changes, halting the information system, or triggering audit alerts when unauthorized modifications to critical security files occur.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(5)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security safeguards to be implemented when integrity violations are discovered;\u003c/p\u003e" + ] + }, + { + "id": "si-7.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(5)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system automatically performs one or more of the following actions when integrity violations are discovered:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.5_obj_5.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(5)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eshuts the information system down;\u003c/p\u003e" + ] + }, + { + "id": "si-7.5_obj_5.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(5)[2][b]" + } + ], + "prose": [ + "\u003cp\u003erestarts the information system; and/or\u003c/p\u003e" + ] + }, + { + "id": "si-7.5_obj_5.2.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(5)[2][c]" + } + ], + "prose": [ + "\u003cp\u003eimplements the organization-defined security safeguards.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp\u003erecords of integrity checks and responses to integrity violations\u003c/p\u003e", + "\u003cp\u003einformation audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms providing an automated response to integrity violations\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing security safeguards to be implemented when integrity violations are discovered\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-7.6", + "class": "SP800-53-enhancement", + "title": "Cryptographic Protection", + "props": [ + { + "class": "name", + "value": "SI-7 (6)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements cryptographic mechanisms to detect unauthorized changes to software, firmware, and information.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic mechanisms used for the protection of integrity include, for example, digital signatures and the computation and application of signed hashes using asymmetric cryptography, protecting the confidentiality of the key used to generate the hash, and using the public key to verify the hash information.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system employs cryptographic mechanism to detect unauthorized changes to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.6_obj_6.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(6)[1]" + } + ], + "prose": [ + "\u003cp\u003esoftware;\u003c/p\u003e" + ] + }, + { + "id": "si-7.6_obj_6.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(6)[2]" + } + ], + "prose": [ + "\u003cp\u003efirmware; and\u003c/p\u003e" + ] + }, + { + "id": "si-7.6_obj_6.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(6)[3]" + } + ], + "prose": [ + "\u003cp\u003einformation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ecryptographic mechanisms and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of detected unauthorized changes to software, firmware, and information\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp\u003ecryptographic mechanisms implementing software, firmware, and information integrity\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-7.7", + "class": "SP800-53-enhancement", + "title": "Integration of Detection and Response", + "params": [ + { + "id": "si-7.7_prm_1", + "label": "organization-defined security-relevant changes to the information system" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7 (7)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization incorporates the detection of unauthorized \u003cinsert param-id=\"si-7.7_prm_1\"/\u003e into the organizational incident response capability.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended period of time and for possible legal actions. Security-relevant changes include, for example, unauthorized changes to established configuration settings or unauthorized elevation of information system privileges.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ir-4" + }, + { + "rel": "related", + "href": "#ir-5" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.7_obj_7.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(7)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines unauthorized security-relevant changes to the information system; and\u003c/p\u003e" + ] + }, + { + "id": "si-7.7_obj_7.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(7)[2]" + } + ], + "prose": [ + "\u003cp\u003eincorporates the detection of unauthorized organization-defined security-relevant changes to the information system into the organizational incident response capability.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003eprocedures addressing incident response\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eincident response records\u003c/p\u003e", + "\u003cp\u003einformation audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with incident response responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for incorporating detection of unauthorized security-relevant changes into the incident response capability\u003c/p\u003e", + "\u003cp\u003esoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing incorporation of detection of unauthorized security-relevant changes into the incident response capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-7.8", + "class": "SP800-53-enhancement", + "title": "Auditing Capability for Significant Events", + "params": [ + { + "id": "si-7.8_prm_1", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "generates an audit record" + }, + { + "assignments": null, + "Value": "alerts current user" + }, + { + "assignments": null, + "Value": "alerts \n " + }, + { + "assignments": null, + "Value": "\n \n " + } + ] + } + }, + { + "id": "si-7.8_prm_2", + "dependsOn": "si-7.8_prm_1", + "label": "organization-defined personnel or roles" + }, + { + "id": "si-7.8_prm_3", + "dependsOn": "si-7.8_prm_1", + "label": "organization-defined other actions" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7 (8)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system, upon detection of a potential integrity violation, provides the capability to audit the event and initiates the following actions: \u003cinsert param-id=\"si-7.8_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations select response actions based on types of software, specific software, or information for which there are potential integrity violations.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#au-12" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.8_obj_8.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(8)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines personnel or roles to be alerted upon detection of a potential integrity violation;\u003c/p\u003e" + ] + }, + { + "id": "si-7.8_obj_8.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(8)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines other actions to be taken upon detection of a potential integrity violation;\u003c/p\u003e" + ] + }, + { + "id": "si-7.8_obj_8.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(8)[3]" + } + ], + "parts": [ + { + "id": "si-7.8_obj_8.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][a]" + } + ], + "prose": [ + "\u003cp\u003ethe information system, upon detection of a potential integrity violation, provides the capability to audit the event;\u003c/p\u003e" + ] + }, + { + "id": "si-7.8_obj_8.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b]" + } + ], + "prose": [ + "\u003cp\u003ethe information system, upon detection of a potential integrity violation, initiates one or more of the following actions:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.8_obj_8.3.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b][1]" + } + ], + "prose": [ + "\u003cp\u003egenerates an audit record;\u003c/p\u003e" + ] + }, + { + "id": "si-7.8_obj_8.3.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b][2]" + } + ], + "prose": [ + "\u003cp\u003ealerts current user;\u003c/p\u003e" + ] + }, + { + "id": "si-7.8_obj_8.3.b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b][3]" + } + ], + "prose": [ + "\u003cp\u003ealerts organization-defined personnel or roles; and/or\u003c/p\u003e" + ] + }, + { + "id": "si-7.8_obj_8.3.b.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(8)[3][b][4]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined other actions.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of integrity scans\u003c/p\u003e", + "\u003cp\u003eincident response records, list of security-relevant changes to the information system\u003c/p\u003e", + "\u003cp\u003eautomated tools supporting alerts and notifications if unauthorized security changes are detected\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the capability to audit potential integrity violations\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing alerts about potential integrity violations\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-7.9", + "class": "SP800-53-enhancement", + "title": "Verify Boot Process", + "params": [ + { + "id": "si-7.9_prm_1", + "label": "organization-defined devices" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7 (9)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system verifies the integrity of the boot process of \u003cinsert param-id=\"si-7.9_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eEnsuring the integrity of boot processes is critical to starting devices in known/trustworthy states. Integrity verification mechanisms provide organizational personnel with assurance that only trusted code is executed during boot processes.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.9_obj_9.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(9)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines devices requiring integrity verification of the boot process; and\u003c/p\u003e" + ] + }, + { + "id": "si-7.9_obj_9.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(9)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system verifies the integrity of the boot process of organization-defined devices.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp\u003edocumentation\u003c/p\u003e", + "\u003cp\u003erecords of integrity verification scans\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing integrity verification of the boot process\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-7.10", + "class": "SP800-53-enhancement", + "title": "Protection of Boot Firmware", + "params": [ + { + "id": "si-7.10_prm_1", + "label": "organization-defined security safeguards" + }, + { + "id": "si-7.10_prm_2", + "label": "organization-defined devices" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7 (10)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements \u003cinsert param-id=\"si-7.10_prm_1\"/\u003e to protect the integrity of boot firmware in \u003cinsert param-id=\"si-7.10_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eUnauthorized modifications to boot firmware may be indicative of a sophisticated, targeted cyber attack. These types of cyber attacks can result in a permanent denial of service (e.g., if the firmware is corrupted) or a persistent malicious code presence (e.g., if code is embedded within the firmware). Devices can protect the integrity of the boot firmware in organizational information systems by: (i) verifying the integrity and authenticity of all updates to the boot firmware prior to applying changes to the boot devices; and (ii) preventing unauthorized processes from modifying the boot firmware.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.10_obj_10.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(10)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security safeguards to be implemented to protect the integrity of boot firmware in devices;\u003c/p\u003e" + ] + }, + { + "id": "si-7.10_obj_10.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(10)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines devices requiring organization-defined security safeguards to be implemented to protect the integrity of boot firmware; and\u003c/p\u003e" + ] + }, + { + "id": "si-7.10_obj_10.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(10)[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements organization-defined security safeguards to protect the integrity of boot firmware in organization-defined devices.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eintegrity verification tools and associated documentation\u003c/p\u003e", + "\u003cp\u003erecords of integrity verification scans\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing protection of the integrity of boot firmware\u003c/p\u003e", + "\u003cp\u003esafeguards implementing protection of the integrity of boot firmware\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-7.11", + "class": "SP800-53-enhancement", + "title": "Confined Environments with Limited Privileges", + "params": [ + { + "id": "si-7.11_prm_1", + "label": "organization-defined user-installed software" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7 (11)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires that \u003cinsert param-id=\"si-7.11_prm_1\"/\u003e execute in a confined physical or virtual machine environment with limited privileges.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations identify software that may be of greater concern with regard to origin or potential for containing malicious code. For this type of software, user installations occur in confined environments of operation to limit or contain damage from malicious code that may be executed.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.11_obj_11.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(11)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines user-installed software to be executed in a confined physical or virtual machine environment with limited privileges; and\u003c/p\u003e" + ] + }, + { + "id": "si-7.11_obj_11.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(11)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires that organization-defined user-installed software execute in a confined physical or virtual machine environment with limited privileges.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing execution of software in a confined environment (physical and/or virtual)\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing limited privileges in the confined environment\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-7.12", + "class": "SP800-53-enhancement", + "title": "Integrity Verification", + "params": [ + { + "id": "si-7.12_prm_1", + "label": "organization-defined user-installed software" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7 (12)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization requires that the integrity of \u003cinsert param-id=\"si-7.12_prm_1\"/\u003e be verified prior to execution.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations verify the integrity of user-installed software prior to execution to reduce the likelihood of executing malicious code or code that contains errors from unauthorized modifications. Organizations consider the practicality of approaches to verifying software integrity including, for example, availability of checksums of adequate trustworthiness from software developers or vendors.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.12_obj_12.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(12)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines user-installed software requiring integrity verification prior to execution; and\u003c/p\u003e" + ] + }, + { + "id": "si-7.12_obj_12.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(12)[2]" + } + ], + "prose": [ + "\u003cp\u003erequires that the integrity of organization-defined user-installed software be verified prior to execution.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eintegrity verification records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing verification of the integrity of user-installed software prior to execution\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-7.13", + "class": "SP800-53-enhancement", + "title": "Code Execution in Protected Environments", + "params": [ + { + "id": "si-7.13_prm_1", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7 (13)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization allows execution of binary or machine-executable code obtained from sources with limited or no warranty and without the provision of source code only in confined physical or virtual machine environments and with the explicit approval of \u003cinsert param-id=\"si-7.13_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.13_obj_13.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(13)[1]" + } + ], + "prose": [ + "\u003cp\u003eallows execution of binary or machine-executable code obtained from sources with limited or no warranty;\u003c/p\u003e" + ] + }, + { + "id": "si-7.13_obj_13.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(13)[2]" + } + ], + "prose": [ + "\u003cp\u003eallows execution of binary or machine-executable code without the provision of source code only in confined physical or virtual machines;\u003c/p\u003e" + ] + }, + { + "id": "si-7.13_obj_13.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(13)[3]" + } + ], + "prose": [ + "\u003cp\u003edefines personnel or roles required to provide explicit approval to allow execution of binary or machine-executable code; and\u003c/p\u003e" + ] + }, + { + "id": "si-7.13_obj_13.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(13)[4]" + } + ], + "prose": [ + "\u003cp\u003eallows execution of binary or machine-executable code with the explicit approval of organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eapproval records for execution of binary and machine-executable code\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing approvals for execution of binary or machine-executable code\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-7.14", + "class": "SP800-53-enhancement", + "title": "Binary or Machine Executable Code", + "props": [ + { + "class": "name", + "value": "SI-7 (14)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.14_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-7 (14)(a)" + } + ], + "prose": [ + "\u003cp\u003eProhibits the use of binary or machine-executable code from sources with limited or no warranty and without the provision of source code; and\u003c/p\u003e" + ] + }, + { + "id": "si-7.14_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-7 (14)(b)" + } + ], + "prose": [ + "\u003cp\u003eProvides exceptions to the source code requirement only for compelling mission/operational requirements and with the approval of the authorizing official.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies to all sources of binary or machine-executable code including, for example, commercial software/firmware and open source software. Organizations assess software products without accompanying source code from sources with limited or no warranty for potential security impacts. The assessments address the fact that these types of software products may be very difficult to review, repair, or extend, given that organizations, in most cases, do not have access to the original source code, and there may be no owners who could make such repairs on behalf of organizations.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sa-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.14_obj_14.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(14)(a)" + } + ], + "parts": [ + { + "id": "si-7.14_obj_14.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(14)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eprohibits the use of binary or machine-executable code from sources with limited or no warranty;\u003c/p\u003e" + ] + }, + { + "id": "si-7.14_obj_14.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(14)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eprohibits the use of binary or machine-executable code without the provision of source code;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-7.14_obj_14.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(14)(b)" + } + ], + "parts": [ + { + "id": "si-7.14_obj_14.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(14)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003eprovides exceptions to the source code requirement only for compelling mission/operational requirements; and\u003c/p\u003e" + ] + }, + { + "id": "si-7.14_obj_14.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(14)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides exceptions to the source code requirement only with the approval of the authorizing official.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003eapproval records for execution of binary and machine-executable code\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003eauthorizing official\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing prohibition of the execution of binary or machine-executable code\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-7.15", + "class": "SP800-53-enhancement", + "title": "Code Authentication", + "params": [ + { + "id": "si-7.15_prm_1", + "label": "organization-defined software or firmware components" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7 (15)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements cryptographic mechanisms to authenticate \u003cinsert param-id=\"si-7.15_prm_1\"/\u003e prior to installation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCryptographic authentication includes, for example, verifying that software or firmware components have been digitally signed using certificates recognized and approved by organizations. Code signing is an effective method to protect against malicious code.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.15_obj_15.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(15)[1]" + } + ], + "parts": [ + { + "id": "si-7.15_obj_15.1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(15)[1][a]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines software components to be authenticated by cryptographic mechanisms prior to installation;\u003c/p\u003e" + ] + }, + { + "id": "si-7.15_obj_15.1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(15)[1][b]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines firmware components to be authenticated by cryptographic mechanisms prior to installation;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-7.15_obj_15.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(15)[2]" + } + ], + "parts": [ + { + "id": "si-7.15_obj_15.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(15)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements cryptographic mechanisms to authenticate organization-defined software components prior to installation; and\u003c/p\u003e" + ] + }, + { + "id": "si-7.15_obj_15.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(15)[2][b]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements cryptographic mechanisms to authenticate organization-defined firmware components prior to installation.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software, firmware, and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ecryptographic mechanisms and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eCryptographic mechanisms authenticating software/firmware prior to installation\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-7.16", + "class": "SP800-53-enhancement", + "title": "Time Limit On Process Execution w/o Supervision", + "params": [ + { + "id": "si-7.16_prm_1", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "SI-7 (16)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization does not allow processes to execute without supervision for more than \u003cinsert param-id=\"si-7.16_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement addresses processes for which normal execution periods can be determined and situations in which organizations exceed such periods. Supervision includes, for example, operating system timers, automated responses, or manual oversight and response when information system process anomalies occur.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-7.16_obj_16.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(16)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a time period as the maximum period allowed for processes to execute without supervision; and\u003c/p\u003e" + ] + }, + { + "id": "si-7.16_obj_16.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-7(16)[2]" + } + ], + "prose": [ + "\u003cp\u003edoes not allow processes to execute without supervision for more than the organization-defined time period.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing software and information integrity\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for software, firmware, and/or information integrity\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSoftware, firmware, and information integrity verification tools\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing time limits on process execution without supervision\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "si-8", + "class": "SP800-53", + "title": "Spam Protection", + "props": [ + { + "class": "name", + "value": "SI-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-8_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-8a." + } + ], + "prose": [ + "\u003cp\u003eEmploys spam protection mechanisms at information system entry and exit points to detect and take action on unsolicited messages; and\u003c/p\u003e" + ] + }, + { + "id": "si-8_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-8b." + } + ], + "prose": [ + "\u003cp\u003eUpdates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, mobile devices, and notebook/laptop computers. Spam can be transported by different means including, for example, electronic mail, electronic mail attachments, and web accesses. Spam protection mechanisms include, for example, signature definitions.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-2" + }, + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#sc-5" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#si-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-8_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-8(a)" + } + ], + "prose": [ + "\u003cp\u003eemploys spam protection mechanisms:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-8_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-8(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eat information system entry points to detect unsolicited messages;\u003c/p\u003e" + ] + }, + { + "id": "si-8_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-8(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eat information system entry points to take action on unsolicited messages;\u003c/p\u003e" + ] + }, + { + "id": "si-8_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-8(a)[3]" + } + ], + "prose": [ + "\u003cp\u003eat information system exit points to detect unsolicited messages;\u003c/p\u003e" + ] + }, + { + "id": "si-8_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-8(a)[4]" + } + ], + "prose": [ + "\u003cp\u003eat information system exit points to take action on unsolicited messages; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-8_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-8(b)" + } + ], + "prose": [ + "\u003cp\u003eupdates spam protection mechanisms when new releases are available in accordance with organizational configuration management policy and procedures.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003econfiguration management policy and procedures (CM-1)\u003c/p\u003e", + "\u003cp\u003eprocedures addressing spam protection\u003c/p\u003e", + "\u003cp\u003espam protection mechanisms\u003c/p\u003e", + "\u003cp\u003erecords of spam protection updates\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for spam protection\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for implementing spam protection\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing spam protection\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "si-8.1", + "class": "SP800-53-enhancement", + "title": "Central Management", + "props": [ + { + "class": "name", + "value": "SI-8 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization centrally manages spam protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCentral management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection security controls.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-3" + }, + { + "rel": "related", + "href": "#si-2" + }, + { + "rel": "related", + "href": "#si-7" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization centrally manages spam protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing spam protection\u003c/p\u003e", + "\u003cp\u003espam protection mechanisms\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for spam protection\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for central management of spam protection\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing central management of spam protection\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-8.2", + "class": "SP800-53-enhancement", + "title": "Automatic Updates", + "props": [ + { + "class": "name", + "value": "SI-8 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system automatically updates spam protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system automatically updates spam protection mechanisms.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing spam protection\u003c/p\u003e", + "\u003cp\u003espam protection mechanisms\u003c/p\u003e", + "\u003cp\u003erecords of spam protection updates\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for spam protection\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for spam protection\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing automatic updates to spam protection mechanisms\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-8.3", + "class": "SP800-53-enhancement", + "title": "Continuous Learning Capability", + "props": [ + { + "class": "name", + "value": "SI-8 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eLearning mechanisms include, for example, Bayesian filters that respond to user inputs identifying specific traffic as spam or legitimate by updating algorithm parameters and thereby more accurately separating types of traffic.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system implements spam protection mechanisms with a learning capability to more effectively identify legitimate communications traffic.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing spam protection\u003c/p\u003e", + "\u003cp\u003espam protection mechanisms\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for spam protection\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for spam protection\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing spam protection mechanisms with a learning capability\u003c/p\u003e" + ] + } + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "si-9", + "class": "SP800-53", + "title": "Information Input Restrictions", + "links": [ + { + "rel": "related", + "href": "#ac-2" + }, + { + "rel": "related", + "href": "#ac-3" + }, + { + "rel": "related", + "href": "#ac-5" + }, + { + "rel": "related", + "href": "#ac-6" + } + ], + "props": [ + { + "class": "name", + "value": "SI-9" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into AC-2, AC-3, AC-5, AC-6\u003c/i\u003e \u003ci\u003eIncorporated into AC-2, AC-3, AC-5, AC-6\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-10", + "class": "SP800-53", + "title": "Information Input Validation", + "params": [ + { + "id": "si-10_prm_1", + "label": "organization-defined information inputs" + } + ], + "props": [ + { + "class": "name", + "value": "SI-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system checks the validity of \u003cinsert param-id=\"si-10_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eChecking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, and acceptable values) verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the tainted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation helps to ensure accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-10_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information inputs requiring validity checks; and\u003c/p\u003e" + ] + }, + { + "id": "si-10_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system checks the validity of organization-defined information inputs.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eseparation of duties policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp\u003edocumentation for automated tools and applications to verify validity of information\u003c/p\u003e", + "\u003cp\u003elist of information inputs requiring validity checks\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing validity checks on information inputs\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "si-10.1", + "class": "SP800-53-enhancement", + "title": "Manual Override Capability", + "params": [ + { + "id": "si-10.1_prm_1", + "label": "organization-defined inputs" + }, + { + "id": "si-10.1_prm_2", + "label": "organization-defined authorized individuals" + } + ], + "props": [ + { + "class": "name", + "value": "SI-10 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-10.1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-10 (1)(a)" + } + ], + "prose": [ + "\u003cp\u003eProvides a manual override capability for input validation of \u003cinsert param-id=\"si-10.1_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "si-10.1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-10 (1)(b)" + } + ], + "prose": [ + "\u003cp\u003eRestricts the use of the manual override capability to only \u003cinsert param-id=\"si-10.1_prm_2\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "si-10.1_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-10 (1)(c)" + } + ], + "prose": [ + "\u003cp\u003eAudits the use of the manual override capability.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "links": [ + { + "rel": "related", + "href": "#cm-3" + }, + { + "rel": "related", + "href": "#cm-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-10.1_obj_1.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10(1)(a)" + } + ], + "parts": [ + { + "id": "si-10.1_obj_1.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10(1)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines information inputs for which the information system provides a manual override capability for input validation;\u003c/p\u003e" + ] + }, + { + "id": "si-10.1_obj_1.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10(1)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system provides a manual override capability for input validation of organization-defined inputs;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-10.1_obj_1.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10(1)(b)" + } + ], + "parts": [ + { + "id": "si-10.1_obj_1.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10(1)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines authorized individuals who can use the manual override capability;\u003c/p\u003e" + ] + }, + { + "id": "si-10.1_obj_1.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10(1)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system restricts the use of manual override capability to organization-defined authorized individuals; and\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-10.1_obj_1.c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10(1)(c)" + } + ], + "prose": [ + "\u003cp\u003ethe information system audits the use of the manual override capability.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eseparation of duties policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for use of manual override capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing manual override capability for input validation\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing auditing of the use of manual override capability\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-10.2", + "class": "SP800-53-enhancement", + "title": "Review / Resolution of Errors", + "params": [ + { + "id": "si-10.2_prm_1", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "SI-10 (2)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that input validation errors are reviewed and resolved within \u003cinsert param-id=\"si-10.2_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eResolution of input validation errors includes, for example, correcting systemic causes of errors and resubmitting transactions with corrected input.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-10.2_obj_2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10(2)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a time period within which input validation errors are to be reviewed and resolved; and\u003c/p\u003e" + ] + }, + { + "id": "si-10.2_obj_2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that input validation errors are reviewed and resolved within the organization-defined time period.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eaccess control policy and procedures\u003c/p\u003e", + "\u003cp\u003eseparation of duties policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003ereview records of information input validation errors and resulting resolutions\u003c/p\u003e", + "\u003cp\u003einformation input validation error logs or records\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for review and resolution of input validation errors\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing review and resolution of input validation errors\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-10.3", + "class": "SP800-53-enhancement", + "title": "Predictable Behavior", + "props": [ + { + "class": "name", + "value": "SI-10 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eA common vulnerability in organizational information systems is unpredictable behavior when invalid inputs are received. This control enhancement ensures that there is predictable behavior in the face of invalid inputs by specifying information system responses that facilitate transitioning the system to known states without adverse, unintended side effects.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the information system behaves in a predictable and documented manner that reflects organizational and system objectives when invalid inputs are received.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing predictable behavior when invalid inputs are received\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-10.4", + "class": "SP800-53-enhancement", + "title": "Review / Timing Interactions", + "props": [ + { + "class": "name", + "value": "SI-10 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eIn addressing invalid information system inputs received across protocol interfaces, timing interactions become relevant, where one protocol needs to consider the impact of the error response on other protocols within the protocol stack. For example, 802.11 standard wireless network protocols do not interact well with Transmission Control Protocols (TCP) when packets are dropped (which could be due to invalid packet input). TCP assumes packet losses are due to congestion, while packets lost over 802.11 links are typically dropped due to collisions or noise on the link. If TCP makes a congestion response, it takes precisely the wrong action in response to a collision event. Adversaries may be able to use apparently acceptable individual behaviors of the protocols in concert to achieve adverse effects through suitable construction of invalid input.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization accounts for timing interactions among information system components in determining appropriate responses for invalid inputs.\u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for determining appropriate responses to invalid inputs\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing responses to invalid inputs\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-10.5", + "class": "SP800-53-enhancement", + "title": "Restrict Inputs to Trusted Sources and Approved Formats", + "params": [ + { + "id": "si-10.5_prm_1", + "label": "organization-defined trusted sources" + }, + { + "id": "si-10.5_prm_2", + "label": "organization-defined formats" + } + ], + "props": [ + { + "class": "name", + "value": "SI-10 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization restricts the use of information inputs to \u003cinsert param-id=\"si-10.5_prm_1\"/\u003e and/or \u003cinsert param-id=\"si-10.5_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control enhancement applies the concept of whitelisting to information inputs. Specifying known trusted sources for information inputs and acceptable formats for such inputs can reduce the probability of malicious activity.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-10.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines trusted sources to which the use of information inputs is to be restricted;\u003c/p\u003e" + ] + }, + { + "id": "si-10.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10(5)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines formats to which the use of information inputs is to be restricted;\u003c/p\u003e" + ] + }, + { + "id": "si-10.5_obj_5.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10(5)[3]" + } + ], + "prose": [ + "\u003cp\u003erestricts the use of information inputs to:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-10.5_obj_5.3.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10(5)[3][a]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined trust sources; and/or\u003c/p\u003e" + ] + }, + { + "id": "si-10.5_obj_5.3.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-10(5)[3][b]" + } + ], + "prose": [ + "\u003cp\u003eorganization-defined formats.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information input validation\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of trusted sources for information inputs\u003c/p\u003e", + "\u003cp\u003elist of acceptable formats for input restrictions\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for restricting information inputs\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing restriction of information inputs\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "si-11", + "class": "SP800-53", + "title": "Error Handling", + "params": [ + { + "id": "si-11_prm_1", + "label": "organization-defined personnel or roles" + } + ], + "props": [ + { + "class": "name", + "value": "SI-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-11_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-11a." + } + ], + "prose": [ + "\u003cp\u003eGenerates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries; and\u003c/p\u003e" + ] + }, + { + "id": "si-11_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-11b." + } + ], + "prose": [ + "\u003cp\u003eReveals error messages only to \u003cinsert param-id=\"si-11_prm_1\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations carefully consider the structure/content of error messages. The extent to which information systems are able to identify and handle error conditions is guided by organizational policy and operational requirements. Information that could be exploited by adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as the username, mission/business information that can be derived from (if not stated explicitly by) information recorded, and personal information such as account numbers, social security numbers, and credit card numbers. In addition, error messages may provide a covert channel for transmitting information.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#au-2" + }, + { + "rel": "related", + "href": "#au-3" + }, + { + "rel": "related", + "href": "#sc-31" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-11_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-11(a)" + } + ], + "prose": [ + "\u003cp\u003ethe information system generates error messages that provide information necessary for corrective actions without revealing information that could be exploited by adversaries;\u003c/p\u003e" + ] + }, + { + "id": "si-11_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-11(b)" + } + ], + "parts": [ + { + "id": "si-11_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-11(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines personnel or roles to whom error messages are to be revealed; and\u003c/p\u003e" + ] + }, + { + "id": "si-11_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-11(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system reveals error messages only to organization-defined personnel or roles.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system error handling\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003edocumentation providing structure/content of error messages\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for information input validation\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for error handling\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing error handling\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing management of error messages\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-12", + "class": "SP800-53", + "title": "Information Handling and Retention", + "props": [ + { + "class": "name", + "value": "SI-12" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization handles and retains information within the information system and information output from the system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation handling and retention requirements cover the full life cycle of information, in some cases extending beyond the disposal of information systems. The National Archives and Records Administration provides guidance on records retention.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-16" + }, + { + "rel": "related", + "href": "#au-5" + }, + { + "rel": "related", + "href": "#au-11" + }, + { + "rel": "related", + "href": "#mp-2" + }, + { + "rel": "related", + "href": "#mp-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization, in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-12_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-12[1]" + } + ], + "prose": [ + "\u003cp\u003ehandles information within the information system;\u003c/p\u003e" + ] + }, + { + "id": "si-12_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-12[2]" + } + ], + "prose": [ + "\u003cp\u003ehandles output from the information system;\u003c/p\u003e" + ] + }, + { + "id": "si-12_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-12[3]" + } + ], + "prose": [ + "\u003cp\u003eretains information within the information system; and\u003c/p\u003e" + ] + }, + { + "id": "si-12_obj_4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-12[4]" + } + ], + "prose": [ + "\u003cp\u003eretains output from the information system.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003efederal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information handling and retention\u003c/p\u003e", + "\u003cp\u003emedia protection policy and procedures\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system output handling and retention\u003c/p\u003e", + "\u003cp\u003einformation retention records, other relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for information handling and retention\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities/network administrators\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for information handling and retention\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing information handling and retention\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-13", + "class": "SP800-53", + "title": "Predictable Failure Prevention", + "params": [ + { + "id": "si-13_prm_1", + "label": "organization-defined information system components" + }, + { + "id": "si-13_prm_2", + "label": "organization-defined MTTF substitution criteria" + } + ], + "props": [ + { + "class": "name", + "value": "SI-13" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-13_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-13a." + } + ], + "prose": [ + "\u003cp\u003eDetermines mean time to failure (MTTF) for \u003cinsert param-id=\"si-13_prm_1\"/\u003e in specific environments of operation; and\u003c/p\u003e" + ] + }, + { + "id": "si-13_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-13b." + } + ], + "prose": [ + "\u003cp\u003eProvides substitute information system components and a means to exchange active and standby components at \u003cinsert param-id=\"si-13_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eWhile MTTF is primarily a reliability issue, this control addresses potential failures of specific information system components that provide security capability. Failure rates reflect installation-specific consideration, not industry-average. Organizations define criteria for substitution of information system components based on MTTF value with consideration for resulting potential harm from component failures. Transfer of responsibilities between active and standby components does not compromise safety, operational readiness, or security capability (e.g., preservation of state variables). Standby components remain available at all times except for maintenance issues or recovery failures in progress.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-2" + }, + { + "rel": "related", + "href": "#cp-10" + }, + { + "rel": "related", + "href": "#ma-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-13_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(a)" + } + ], + "parts": [ + { + "id": "si-13_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines information system components for which mean time to failure (MTTF) should be determined;\u003c/p\u003e" + ] + }, + { + "id": "si-13_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edetermines MTTF for organization-defined information system components in specific environments of operation;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-13_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(b)" + } + ], + "parts": [ + { + "id": "si-13_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines MTTF substitution criteria to be used as a means to exchange active and standby components;\u003c/p\u003e" + ] + }, + { + "id": "si-13_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides substitute information system components at organization-defined MTTF substitution criteria; and\u003c/p\u003e" + ] + }, + { + "id": "si-13_obj_b.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(b)[3]" + } + ], + "prose": [ + "\u003cp\u003eprovides a means to exchange active and standby components at organization-defined MTTF substitution criteria.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of MTTF substitution criteria\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for MTTF determinations and activities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing MTTF\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "si-13.1", + "class": "SP800-53-enhancement", + "title": "Transferring Component Responsibilities", + "params": [ + { + "id": "si-13.1_prm_1", + "label": "organization-defined fraction or percentage" + } + ], + "props": [ + { + "class": "name", + "value": "SI-13 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization takes information system components out of service by transferring component responsibilities to substitute components no later than \u003cinsert param-id=\"si-13.1_prm_1\"/\u003e of mean time to failure.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-13.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines maximum fraction or percentage of mean time to failure within which to transfer the responsibilities of an information system component that is out of service to a substitute component; and\u003c/p\u003e" + ] + }, + { + "id": "si-13.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(1)[2]" + } + ], + "prose": [ + "\u003cp\u003etakes the information system component out of service by transferring component responsibilities to substitute components no later than organization-defined fraction or percentage of mean time to failure.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for MTTF activities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing MTTF\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing transfer of component responsibilities to substitute components\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-13.2", + "class": "SP800-53-enhancement", + "title": "Time Limit On Process Execution Without Supervision", + "links": [ + { + "rel": "related", + "href": "#si-7.16" + } + ], + "props": [ + { + "class": "name", + "value": "SI-13 (2)" + }, + { + "class": "status", + "value": "Withdrawn" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003e\u003ci\u003eIncorporated into SI-7 (16)\u003c/i\u003e \u003ci\u003eIncorporated into SI-7 (16)\u003c/i\u003e \u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-13.3", + "class": "SP800-53-enhancement", + "title": "Manual Transfer Between Components", + "params": [ + { + "id": "si-13.3_prm_1", + "label": "organization-defined frequency" + }, + { + "id": "si-13.3_prm_2", + "label": "organization-defined time period" + } + ], + "props": [ + { + "class": "name", + "value": "SI-13 (3)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization manually initiates transfers between active and standby information system components \u003cinsert param-id=\"si-13.3_prm_1\"/\u003e if the mean time to failure exceeds \u003cinsert param-id=\"si-13.3_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-13.3_obj_3.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(3)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the minimum frequency with which the organization manually initiates a transfer between active and standby information system components if the mean time to failure exceeds the organization-defined time period;\u003c/p\u003e" + ] + }, + { + "id": "si-13.3_obj_3.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(3)[2]" + } + ], + "prose": [ + "\u003cp\u003edefines the time period that the mean time to failure must exceed before the organization manually initiates a transfer between active and standby information system components; and\u003c/p\u003e" + ] + }, + { + "id": "si-13.3_obj_3.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(3)[3]" + } + ], + "prose": [ + "\u003cp\u003emanually initiates transfers between active and standby information system components at the organization-defined frequency if the mean time to failure exceeds the organization-defined time period.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for MTTF activities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing MTTF and conducting the manual transfer between active and standby components\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-13.4", + "class": "SP800-53-enhancement", + "title": "Standby Component Installation / Notification", + "params": [ + { + "id": "si-13.4_prm_1", + "label": "organization-defined time period" + }, + { + "id": "si-13.4_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "activates \n " + }, + { + "assignments": null, + "Value": "automatically shuts down the information system" + } + ] + } + }, + { + "id": "si-13.4_prm_3", + "dependsOn": "si-13.4_prm_2", + "label": "organization-defined alarm" + } + ], + "props": [ + { + "class": "name", + "value": "SI-13 (4)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization, if information system component failures are detected:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-13.4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-13 (4)(a)" + } + ], + "prose": [ + "\u003cp\u003eEnsures that the standby components are successfully and transparently installed within \u003cinsert param-id=\"si-13.4_prm_1\"/\u003e; and\u003c/p\u003e" + ] + }, + { + "id": "si-13.4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "SI-13 (4)(b)" + } + ], + "prose": [ + "\u003cp\u003e \u003cinsert param-id=\"si-13.4_prm_2\"/\u003e.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eAutomatic or manual transfer of components from standby to active mode can occur, for example, upon detection of component failures.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-13.4_obj_4.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(4)(a)" + } + ], + "parts": [ + { + "id": "si-13.4_obj_4.a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(4)(a)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines a time period for standby information system components to be successfully and transparently installed when information system component failures are detected;\u003c/p\u003e" + ] + }, + { + "id": "si-13.4_obj_4.a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(4)(a)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that the standby components are successfully and transparently installed within the organization-defined time period;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "si-13.4_obj_4.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)" + } + ], + "parts": [ + { + "id": "si-13.4_obj_4.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines an alarm to be activated when information system component failures are detected;\u003c/p\u003e" + ] + }, + { + "id": "si-13.4_obj_4.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eif information system component failures are detected, does one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-13.4_obj_4.b.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)[2][a]" + } + ], + "prose": [ + "\u003cp\u003eactivates the organization-defined alarm; and/or\u003c/p\u003e" + ] + }, + { + "id": "si-13.4_obj_4.b.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(4)(b)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eautomatically shuts down the information system.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of actions to be taken once information system component failure is detected\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for MTTF activities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing MTTF\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing transparent installation of standby components\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing alarms or system shutdown if component failures are detected\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-13.5", + "class": "SP800-53-enhancement", + "title": "Failover Capability", + "params": [ + { + "id": "si-13.5_prm_1", + "label": "SELECTION", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "real-time" + }, + { + "assignments": null, + "Value": "near real-time" + } + ] + } + }, + { + "id": "si-13.5_prm_2", + "label": "organization-defined failover capability" + } + ], + "props": [ + { + "class": "name", + "value": "SI-13 (5)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization provides \u003cinsert param-id=\"si-13.5_prm_1\"/\u003e \u003cinsert param-id=\"si-13.5_prm_2\"/\u003e for the information system.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailover refers to the automatic switchover to an alternate information system upon the failure of the primary information system. Failover capability includes, for example, incorporating mirrored information system operations at alternate processing sites or periodic data mirroring at regular intervals defined by recovery time periods of organizations.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-13.5_obj_5.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(5)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines failover capability to be provided for the information system;\u003c/p\u003e" + ] + }, + { + "id": "si-13.5_obj_5.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(5)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides one of the following organization-defined failover capabilities for the information system:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-13.5_obj_5.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(5)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ereal-time failover capability; and/or\u003c/p\u003e" + ] + }, + { + "id": "si-13.5_obj_5.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-13(5)[2][b]" + } + ], + "prose": [ + "\u003cp\u003enear real-time failover capability.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing predictable failure prevention\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003edocumentation describing failover capability provided for the information system\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for failover capability\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with contingency planning responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for managing failover capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing failover capability\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "si-14", + "class": "SP800-53", + "title": "Non-persistence", + "params": [ + { + "id": "si-14_prm_1", + "label": "organization-defined information system components and services" + }, + { + "id": "si-14_prm_2", + "label": "SELECTION (one or more)", + "select": { + "id": "", + "HowMany": "", + "choices": [ + { + "assignments": null, + "Value": "upon end of session of use" + }, + { + "assignments": null, + "Value": "periodically at \n " + } + ] + } + }, + { + "id": "si-14_prm_3", + "dependsOn": "si-14_prm_2", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "SI-14" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements non-persistent \u003cinsert param-id=\"si-14_prm_1\"/\u003e that are initiated in a known state and terminated \u003cinsert param-id=\"si-14_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control mitigates risk from advanced persistent threats (APTs) by significantly reducing the targeting capability of adversaries (i.e., window of opportunity and available attack surface) to initiate and complete cyber attacks. By implementing the concept of non-persistence for selected information system components, organizations can provide a known state computing resource for a specific period of time that does not give adversaries sufficient time on target to exploit vulnerabilities in organizational information systems and the environments in which those systems operate. Since the advanced persistent threat is a high-end threat with regard to capability, intent, and targeting, organizations assume that over an extended period of time, a percentage of cyber attacks will be successful. Non-persistent information system components and services are activated as required using protected information and terminated periodically or upon the end of sessions. Non-persistence increases the work factor of adversaries in attempting to compromise or breach organizational information systems. Non-persistent system components can be implemented, for example, by periodically re-imaging components or by using a variety of common virtualization techniques. Non-persistent services can be implemented using virtualization techniques as part of virtual machines or as new instances of processes on physical machines (either persistent or non-persistent).The benefit of periodic refreshes of information system components/services is that it does not require organizations to first determine whether compromises of components or services have occurred (something that may often be difficult for organizations to determine). The refresh of selected information system components and services occurs with sufficient frequency to prevent the spread or intended impact of attacks, but not with such frequency that it makes the information system unstable. In some instances, refreshes of critical components and services may be done periodically in order to hinder the ability of adversaries to exploit optimum windows of vulnerabilities.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#sc-30" + }, + { + "rel": "related", + "href": "#sc-34" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-14_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-14[1]" + } + ], + "prose": [ + "\u003cp\u003edefines non-persistent information system components and services to be implemented;\u003c/p\u003e" + ] + }, + { + "id": "si-14_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-14[2]" + } + ], + "parts": [ + { + "id": "si-14_obj_2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-14[2][a]" + } + ], + "prose": [ + "\u003cp\u003edefines a frequency to terminate non-persistent organization-defined components and services that are initiated in a known state;\u003c/p\u003e" + ] + }, + { + "id": "si-14_obj_2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-14[2][b]" + } + ], + "prose": [ + "\u003cp\u003eimplements non-persistent organization-defined information system components and services that are initiated in a known state and terminated one or more of the following:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-14_obj_2.b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-14[2][b][1]" + } + ], + "prose": [ + "\u003cp\u003eupon end of session of use; and/or\u003c/p\u003e" + ] + }, + { + "id": "si-14_obj_2.b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-14[2][b][2]" + } + ], + "prose": [ + "\u003cp\u003eperiodically at the organization-defined frequency.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing non-persistence for information system components\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for non-persistence\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing initiation and termination of non-persistent components\u003c/p\u003e" + ] + } + ] + } + ], + "subcontrols": [ + { + "id": "si-14.1", + "class": "SP800-53-enhancement", + "title": "Refresh from Trusted Sources", + "params": [ + { + "id": "si-14.1_prm_1", + "label": "organization-defined trusted sources" + } + ], + "props": [ + { + "class": "name", + "value": "SI-14 (1)" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization ensures that software and data employed during information system component and service refreshes are obtained from \u003cinsert param-id=\"si-14.1_prm_1\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eTrusted sources include, for example, software/data from write-once, read-only media or from selected off-line secure storage facilities.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-14.1_obj_1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-14(1)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines trusted sources from which software and data employed during information system component and service refreshes are to be obtained; and\u003c/p\u003e" + ] + }, + { + "id": "si-14.1_obj_1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-14(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eensures that software and data employed during information system component and service refreshes are obtained from organization-defined trusted sources.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing non-persistence for information system components\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for obtaining component and service refreshes from trusted sources\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining and obtaining component and service refreshes from trusted sources\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing component and service refreshes\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "id": "si-15", + "class": "SP800-53", + "title": "Information Output Filtering", + "params": [ + { + "id": "si-15_prm_1", + "label": "organization-defined software programs and/or applications" + } + ], + "props": [ + { + "class": "name", + "value": "SI-15" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system validates information output from \u003cinsert param-id=\"si-15_prm_1\"/\u003e to ensure that the information is consistent with the expected content.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eCertain types of cyber attacks (e.g., SQL injections) produce output results that are unexpected or inconsistent with the output results that would normally be expected from software programs or applications. This control enhancement focuses on detecting extraneous content, preventing such extraneous content from being displayed, and alerting monitoring tools that anomalous behavior has been discovered.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-3" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-15_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-15[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines software programs and/or applications whose information output requires validation to ensure that the information is consistent with the expected content; and\u003c/p\u003e" + ] + }, + { + "id": "si-15_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-15[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system validates information output from organization-defined software programs and/or applications to ensure that the information is consistent with the expected content.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information output filtering\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for validating information output\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for validating information output\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing information output validation\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-16", + "class": "SP800-53", + "title": "Memory Protection", + "params": [ + { + "id": "si-16_prm_1", + "label": "organization-defined security safeguards" + } + ], + "props": [ + { + "class": "name", + "value": "SI-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements \u003cinsert param-id=\"si-16_prm_1\"/\u003e to protect its memory from unauthorized code execution.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSome adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Security safeguards employed to protect memory include, for example, data execution prevention and address space layout randomization. Data execution prevention safeguards can either be hardware-enforced or software-enforced with hardware providing the greater strength of mechanism.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-25" + }, + { + "rel": "related", + "href": "#sc-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-16_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-16[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines security safeguards to be implemented to protect information system memory from unauthorized code execution; and\u003c/p\u003e" + ] + }, + { + "id": "si-16_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-16[2]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements organization-defined security safeguards to protect its memory from unauthorized code execution.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing memory protection for the information system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of security safeguards protecting information system memory from unauthorized code execution\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for memory protection\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eAutomated mechanisms supporting and/or implementing safeguards to protect information system memory from unauthorized code execution\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "si-17", + "class": "SP800-53", + "title": "Fail-safe Procedures", + "params": [ + { + "id": "si-17_prm_1", + "label": "organization-defined fail-safe procedures" + }, + { + "id": "si-17_prm_2", + "label": "organization-defined failure conditions occur" + } + ], + "props": [ + { + "class": "name", + "value": "SI-17" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe information system implements \u003cinsert param-id=\"si-17_prm_1\"/\u003e when \u003cinsert param-id=\"si-17_prm_2\"/\u003e.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eFailure conditions include, for example, loss of communications among critical system components or between system components and operational facilities. Fail-safe procedures include, for example, alerting operator personnel and providing specific instructions on subsequent steps to take (e.g., do nothing, reestablish system settings, shut down processes, restart the system, or contact designated organizational personnel).\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#cp-12" + }, + { + "rel": "related", + "href": "#cp-13" + }, + { + "rel": "related", + "href": "#sc-24" + }, + { + "rel": "related", + "href": "#si-13" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if:\u003c/p\u003e" + ], + "parts": [ + { + "id": "si-17_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-17[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines fail-safe procedures to be implemented when organization-defined failure conditions occur;\u003c/p\u003e" + ] + }, + { + "id": "si-17_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-17[2]" + } + ], + "prose": [ + "\u003cp\u003ethe organization defines failure conditions resulting in organization-defined fail-safe procedures being implemented when such conditions occur; and\u003c/p\u003e" + ] + }, + { + "id": "si-17_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "SI-17[3]" + } + ], + "prose": [ + "\u003cp\u003ethe information system implements organization-defined fail-safe procedures when organization-defined failure conditions occur.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eSystem and information integrity policy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing memory protection for the information system\u003c/p\u003e", + "\u003cp\u003einformation system design documentation\u003c/p\u003e", + "\u003cp\u003einformation system configuration settings and associated documentation\u003c/p\u003e", + "\u003cp\u003elist of security safeguards protecting information system memory from unauthorized code execution\u003c/p\u003e", + "\u003cp\u003einformation system audit records\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for fail-safe procedures\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003esystem/network administrators\u003c/p\u003e", + "\u003cp\u003esystem developer\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational fail-safe procedures\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing fail-safe procedures\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "family", + "title": "Program Management", + "controls": [ + { + "id": "pm-1", + "class": "SP800-53", + "title": "Information Security Program Plan", + "params": [ + { + "id": "pm-1_prm_1", + "label": "organization-defined frequency" + } + ], + "props": [ + { + "class": "name", + "value": "PM-1" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-1_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-1a." + } + ], + "prose": [ + "\u003cp\u003eDevelops and disseminates an organization-wide information security program plan that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-1_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-1a.1." + } + ], + "prose": [ + "\u003cp\u003eProvides an overview of the requirements for the security program and a description of the security program management controls and common controls in place or planned for meeting those requirements;\u003c/p\u003e" + ] + }, + { + "id": "pm-1_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-1a.2." + } + ], + "prose": [ + "\u003cp\u003eIncludes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;\u003c/p\u003e" + ] + }, + { + "id": "pm-1_smt_a.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-1a.3." + } + ], + "prose": [ + "\u003cp\u003eReflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical); and\u003c/p\u003e" + ] + }, + { + "id": "pm-1_smt_a.4", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-1a.4." + } + ], + "prose": [ + "\u003cp\u003eIs approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pm-1_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-1b." + } + ], + "prose": [ + "\u003cp\u003eReviews the organization-wide information security program plan \u003cinsert param-id=\"pm-1_prm_1\"/\u003e;\u003c/p\u003e" + ] + }, + { + "id": "pm-1_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-1c." + } + ], + "prose": [ + "\u003cp\u003eUpdates the plan to address organizational changes and problems identified during plan implementation or security control assessments; and\u003c/p\u003e" + ] + }, + { + "id": "pm-1_smt_d", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-1d." + } + ], + "prose": [ + "\u003cp\u003eProtects the information security program plan from unauthorized disclosure and modification.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation security program plans can be represented in single documents or compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Information security program plans provide sufficient information about the program management controls/common controls (including specification of parameters for any assignment and selection statements either explicitly or by reference) to enable implementations that are unambiguously compliant with the intent of the plans and a determination of the risk to be incurred if the plans are implemented as intended. The security plans for individual information systems and the organization-wide information security program plan together, provide complete coverage for all security controls employed within the organization. Common controls are documented in an appendix to the organization’s information security program plan unless the controls are included in a separate security plan for an information system (e.g., security controls employed as part of an intrusion detection system providing organization-wide boundary protection inherited by one or more organizational information systems). The organization-wide information security program plan will indicate which separate security plans contain descriptions of common controls. Organizations have the flexibility to describe common controls in a single document or in multiple documents. In the case of multiple documents, the documents describing common controls are included as attachments to the information security program plan. If the information security program plan contains multiple documents, the organization specifies in each document the organizational official or officials responsible for the development, implementation, assessment, authorization, and monitoring of the respective common controls. For example, the organization may require that the Facilities Management Office develop, implement, assess, authorize, and continuously monitor common physical and environmental protection controls from the PE family when such controls are not associated with a particular information system but instead, support multiple information systems.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-8" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-1_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(a)" + } + ], + "prose": [ + "\u003cp\u003edevelops and disseminates an organization-wide information security program plan that:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-1_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)" + } + ], + "parts": [ + { + "id": "pm-1_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eprovides an overview of the requirements for the security program;\u003c/p\u003e" + ] + }, + { + "id": "pm-1_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eprovides a description of the:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-1_obj_a.1.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[2][a]" + } + ], + "prose": [ + "\u003cp\u003esecurity program management controls in place or planned for meeting those requirements;\u003c/p\u003e" + ] + }, + { + "id": "pm-1_obj_a.1.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(a)(1)[2][b]" + } + ], + "prose": [ + "\u003cp\u003ecommon controls in place or planned for meeting those requirements;\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pm-1_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)" + } + ], + "prose": [ + "\u003cp\u003eincludes the identification and assignment of:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-1_obj_a.2.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[1]" + } + ], + "prose": [ + "\u003cp\u003eroles;\u003c/p\u003e" + ] + }, + { + "id": "pm-1_obj_a.2.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[2]" + } + ], + "prose": [ + "\u003cp\u003eresponsibilities;\u003c/p\u003e" + ] + }, + { + "id": "pm-1_obj_a.2.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[3]" + } + ], + "prose": [ + "\u003cp\u003emanagement commitment;\u003c/p\u003e" + ] + }, + { + "id": "pm-1_obj_a.2.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[4]" + } + ], + "prose": [ + "\u003cp\u003ecoordination among organizational entities;\u003c/p\u003e" + ] + }, + { + "id": "pm-1_obj_a.2.5", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(a)(2)[5]" + } + ], + "prose": [ + "\u003cp\u003ecompliance;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pm-1_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(a)(3)" + } + ], + "prose": [ + "\u003cp\u003ereflects coordination among organizational entities responsible for the different aspects of information security (i.e., technical, physical, personnel, cyber-physical);\u003c/p\u003e" + ] + }, + { + "id": "pm-1_obj_a.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(a)(4)" + } + ], + "prose": [ + "\u003cp\u003eis approved by a senior official with responsibility and accountability for the risk being incurred to organizational operations, organizational assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pm-1_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(b)" + } + ], + "parts": [ + { + "id": "pm-1_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review the security program plan for the information system;\u003c/p\u003e" + ] + }, + { + "id": "pm-1_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(b)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews the organization-wide information security program plan with the organization-defined frequency;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pm-1_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(c)" + } + ], + "prose": [ + "\u003cp\u003eupdates the plan to address organizational:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-1_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(c)[1]" + } + ], + "prose": [ + "\u003cp\u003echanges identified during plan implementation;\u003c/p\u003e" + ] + }, + { + "id": "pm-1_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(c)[2]" + } + ], + "prose": [ + "\u003cp\u003echanges identified during security control assessments;\u003c/p\u003e" + ] + }, + { + "id": "pm-1_obj_c.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(c)[3]" + } + ], + "prose": [ + "\u003cp\u003eproblems identified during plan implementation;\u003c/p\u003e" + ] + }, + { + "id": "pm-1_obj_c.4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(c)[4]" + } + ], + "prose": [ + "\u003cp\u003eproblems identified during security control assessments;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pm-1_obj_d", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(d)" + } + ], + "prose": [ + "\u003cp\u003eprotects the information security program plan from unauthorized:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-1_obj_d.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(d)[1]" + } + ], + "prose": [ + "\u003cp\u003edisclosure; and\u003c/p\u003e" + ] + }, + { + "id": "pm-1_obj_d.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-1(d)[2]" + } + ], + "prose": [ + "\u003cp\u003emodification.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003eprocedures addressing program plan development and implementation\u003c/p\u003e", + "\u003cp\u003eprocedures addressing program plan reviews and updates\u003c/p\u003e", + "\u003cp\u003eprocedures addressing coordination of the program plan with relevant entities\u003c/p\u003e", + "\u003cp\u003eprocedures for program plan approvals\u003c/p\u003e", + "\u003cp\u003erecords of program plan reviews and updates\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for information security program plan development/review/update/approval\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the information security program plan\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pm-2", + "class": "SP800-53", + "title": "Senior Information Security Officer", + "props": [ + { + "class": "name", + "value": "PM-2" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization appoints a senior information security officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe security officer described in this control is an organizational official. For a federal agency (as defined in applicable federal laws, Executive Orders, directives, policies, or regulations) this official is the Senior Agency Information Security Officer. Organizations may also refer to this official as the Senior Information Security Officer or Chief Information Security Officer.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization appoints a senior information security officer with the mission and resources to: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-2_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-2[1]" + } + ], + "prose": [ + "\u003cp\u003ecoordinate an organization-wide information security program;\u003c/p\u003e" + ] + }, + { + "id": "pm-2_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-2[2]" + } + ], + "prose": [ + "\u003cp\u003edevelop an organization-wide information security program;\u003c/p\u003e" + ] + }, + { + "id": "pm-2_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-2[3]" + } + ], + "prose": [ + "\u003cp\u003eimplement an organization-wide information security program; and\u003c/p\u003e" + ] + }, + { + "id": "pm-2_obj_4", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-2[4]" + } + ], + "prose": [ + "\u003cp\u003emaintain an organization-wide information security program.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003eprocedures addressing program plan development and implementation\u003c/p\u003e", + "\u003cp\u003eprocedures addressing program plan reviews and updates\u003c/p\u003e", + "\u003cp\u003eprocedures addressing coordination of the program plan with relevant entities\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003esenior information security officer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pm-3", + "class": "SP800-53", + "title": "Information Security Resources", + "props": [ + { + "class": "name", + "value": "PM-3" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-3_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-3a." + } + ], + "prose": [ + "\u003cp\u003eEnsures that all capital planning and investment requests include the resources needed to implement the information security program and documents all exceptions to this requirement;\u003c/p\u003e" + ] + }, + { + "id": "pm-3_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-3b." + } + ], + "prose": [ + "\u003cp\u003eEmploys a business case/Exhibit 300/Exhibit 53 to record the resources required; and\u003c/p\u003e" + ] + }, + { + "id": "pm-3_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-3c." + } + ], + "prose": [ + "\u003cp\u003eEnsures that information security resources are available for expenditure as planned.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations consider establishing champions for information security efforts and as part of including the necessary resources, assign specialized expertise and resources as needed. Organizations may designate and empower an Investment Review Board (or similar group) to manage and provide oversight for the information security-related aspects of the capital planning and investment control process.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-4" + }, + { + "rel": "related", + "href": "#sa-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-3_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-3(a)" + } + ], + "parts": [ + { + "id": "pm-3_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-3(a)[1]" + } + ], + "prose": [ + "\u003cp\u003eensures that all capital planning and investment requests include the resources needed to implement the information security program plan;\u003c/p\u003e" + ] + }, + { + "id": "pm-3_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-3(a)[2]" + } + ], + "prose": [ + "\u003cp\u003edocuments all exceptions to the requirement;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pm-3_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-3(b)" + } + ], + "prose": [ + "\u003cp\u003eemploys a business case/Exhibit 300/Exhibit 53 to record the resources required; and\u003c/p\u003e" + ] + }, + { + "id": "pm-3_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-3(c)" + } + ], + "prose": [ + "\u003cp\u003eensures that information security resources are available for expenditure as planned.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003eExhibits 300\u003c/p\u003e", + "\u003cp\u003eExhibits 53\u003c/p\u003e", + "\u003cp\u003ebusiness cases for capital planning and investment\u003c/p\u003e", + "\u003cp\u003eprocedures for capital planning and investment\u003c/p\u003e", + "\u003cp\u003edocumentation of exceptions to capital planning requirements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security program planning responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for capital planning and investment\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for capital planning and investment\u003c/p\u003e", + "\u003cp\u003eorganizational processes for business case/Exhibit 300/Exhibit 53 development\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting the capital planning and investment process\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pm-4", + "class": "SP800-53", + "title": "Plan of Action and Milestones Process", + "props": [ + { + "class": "name", + "value": "PM-4" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-4_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-4a." + } + ], + "prose": [ + "\u003cp\u003eImplements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-4_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-4a.1." + } + ], + "prose": [ + "\u003cp\u003eAre developed and maintained;\u003c/p\u003e" + ] + }, + { + "id": "pm-4_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-4a.2." + } + ], + "prose": [ + "\u003cp\u003eDocument the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and\u003c/p\u003e" + ] + }, + { + "id": "pm-4_smt_a.3", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-4a.3." + } + ], + "prose": [ + "\u003cp\u003eAre reported in accordance with OMB FISMA reporting requirements.\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pm-4_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-4b." + } + ], + "prose": [ + "\u003cp\u003eReviews plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe plan of action and milestones is a key document in the information security program and is subject to federal reporting requirements established by OMB. With the increasing emphasis on organization-wide risk management across all three tiers in the risk management hierarchy (i.e., organization, mission/business process, and information system), organizations view plans of action and milestones from an organizational perspective, prioritizing risk response actions and ensuring consistency with the goals and objectives of the organization. Plan of action and milestones updates are based on findings from security control assessments and continuous monitoring activities. OMB FISMA reporting guidance contains instructions regarding organizational plans of action and milestones.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-4_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-4(a)" + } + ], + "prose": [ + "\u003cp\u003eimplements a process for ensuring that plans of action and milestones for the security program and associated organizational information systems:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-4_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-4(a)(1)" + } + ], + "parts": [ + { + "id": "pm-4_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-4(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eare developed;\u003c/p\u003e" + ] + }, + { + "id": "pm-4_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-4(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eare maintained;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pm-4_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-4(a)(2)" + } + ], + "prose": [ + "\u003cp\u003edocument the remedial information security actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ] + }, + { + "id": "pm-4_obj_a.3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-4(a)(3)" + } + ], + "prose": [ + "\u003cp\u003eare reported in accordance with OMB FISMA reporting requirements;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pm-4_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-4(b)" + } + ], + "prose": [ + "\u003cp\u003ereviews plans of action and milestones for consistency with:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-4_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-4(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organizational risk management strategy; and\u003c/p\u003e" + ] + }, + { + "id": "pm-4_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-4(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eorganization-wide priorities for risk response actions.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003eplans of action and milestones\u003c/p\u003e", + "\u003cp\u003eprocedures addressing plans of action and milestones development and maintenance\u003c/p\u003e", + "\u003cp\u003eprocedures addressing plans of action and milestones reporting\u003c/p\u003e", + "\u003cp\u003eprocedures for review of plans of action and milestones for consistency with risk management strategy and risk response priorities\u003c/p\u003e", + "\u003cp\u003eresults of risk assessments associated with plans of action and milestones\u003c/p\u003e", + "\u003cp\u003eOMB FISMA reporting requirements\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for developing, maintaining, reviewing, and reporting plans of action and milestones\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for plan of action and milestones development, review, maintenance, reporting\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting plans of action and milestones\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pm-5", + "class": "SP800-53", + "title": "Information System Inventory", + "props": [ + { + "class": "name", + "value": "PM-5" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization develops and maintains an inventory of its information systems.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control addresses the inventory requirements in FISMA. OMB provides guidance on developing information systems inventories and associated reporting requirements. For specific information system inventory reporting requirements, organizations consult OMB annual FISMA reporting guidance.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-5_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-5[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops an inventory of its information systems; and\u003c/p\u003e" + ] + }, + { + "id": "pm-5_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-5[2]" + } + ], + "prose": [ + "\u003cp\u003emaintains the inventory of its information systems.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003einformation system inventory\u003c/p\u003e", + "\u003cp\u003eprocedures addressing information system inventory development and maintenance\u003c/p\u003e", + "\u003cp\u003eOMB FISMA reporting guidance\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for developing and maintaining the information system inventory\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for information system inventory development and maintenance\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting the information system inventory\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pm-6", + "class": "SP800-53", + "title": "Information Security Measures of Performance", + "props": [ + { + "class": "name", + "value": "PM-6" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization develops, monitors, and reports on the results of information security measures of performance.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eMeasures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security program and the security controls employed in support of the program.\u003c/p\u003e" + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-6_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-6[1]" + } + ], + "prose": [ + "\u003cp\u003edevelops information security measures of performance;\u003c/p\u003e" + ] + }, + { + "id": "pm-6_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-6[2]" + } + ], + "prose": [ + "\u003cp\u003emonitors information security measures of performance; and\u003c/p\u003e" + ] + }, + { + "id": "pm-6_obj_3", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-6[3]" + } + ], + "prose": [ + "\u003cp\u003ereports information security measures of performance.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003einformation security measures of performance\u003c/p\u003e", + "\u003cp\u003eprocedures addressing development, monitoring, and reporting of information security measures of performance\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for developing, monitoring, and reporting information security measures of performance\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for developing, monitoring, and reporting information security measures of performance\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting the development, monitoring, and reporting of information security measures of performance\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pm-7", + "class": "SP800-53", + "title": "Enterprise Architecture", + "props": [ + { + "class": "name", + "value": "PM-7" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization develops an enterprise architecture with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThe enterprise architecture developed by the organization is aligned with the Federal Enterprise Architecture. The integration of information security requirements and associated security controls into the organization’s enterprise architecture helps to ensure that security considerations are addressed by organizations early in the system development life cycle and are directly and explicitly related to the organization’s mission/business processes. This process of security requirements integration also embeds into the enterprise architecture, an integral information security architecture consistent with organizational risk management and information security strategies. For PM-7, the information security architecture is developed at a system-of-systems level (organization-wide), representing all of the organizational information systems. For PL-8, the information security architecture is developed at a level representing an individual information system but at the same time, is consistent with the information security architecture defined for the organization. Security requirements and security control integration are most effectively accomplished through the application of the Risk Management Framework and supporting security standards and guidelines. The Federal Segment Architecture Methodology provides guidance on integrating information security requirements and security controls into enterprise architectures.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pl-2" + }, + { + "rel": "related", + "href": "#pl-8" + }, + { + "rel": "related", + "href": "#pm-11" + }, + { + "rel": "related", + "href": "#ra-2" + }, + { + "rel": "related", + "href": "#sa-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization develops an enterprise architecture with consideration for: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-7_obj_1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-7[1]" + } + ], + "prose": [ + "\u003cp\u003einformation security; and\u003c/p\u003e" + ] + }, + { + "id": "pm-7_obj_2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-7[2]" + } + ], + "prose": [ + "\u003cp\u003ethe resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003eenterprise architecture documentation\u003c/p\u003e", + "\u003cp\u003eprocedures addressing enterprise architecture development\u003c/p\u003e", + "\u003cp\u003eresults of risk assessment of enterprise architecture\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for developing enterprise architecture\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for risk assessment of enterprise architecture\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for enterprise architecture development\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting the enterprise architecture and its development\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pm-8", + "class": "SP800-53", + "title": "Critical Infrastructure Plan", + "props": [ + { + "class": "name", + "value": "PM-8" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization addresses information security issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eProtection strategies are based on the prioritization of critical assets and resources. 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The use of a risk executive function can facilitate consistent, organization-wide application of the risk management strategy. The organization-wide risk management strategy can be informed by risk-related inputs from other sources both internal and external to the organization to ensure the strategy is both broad-based and comprehensive.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ra-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-9_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-9(a)" + } + ], + "prose": [ + "\u003cp\u003edevelops a comprehensive strategy to manage risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of information systems;\u003c/p\u003e" + ] + }, + { + "id": "pm-9_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-9(b)" + } + ], + "prose": [ + "\u003cp\u003eimplements the risk management strategy consistently across the organization;\u003c/p\u003e" + ] + }, + { + "id": "pm-9_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-9(c)" + } + ], + "parts": [ + { + "id": "pm-9_obj_c.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-9(c)[1]" + } + ], + "prose": [ + "\u003cp\u003edefines the frequency to review and update the risk management strategy;\u003c/p\u003e" + ] + }, + { + "id": "pm-9_obj_c.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-9(c)[2]" + } + ], + "prose": [ + "\u003cp\u003ereviews and updates the risk management strategy to address organizational changes:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-9_obj_c.2.a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-9(c)[2][a]" + } + ], + "prose": [ + "\u003cp\u003ewith the organization-defined frequency; or\u003c/p\u003e" + ] + }, + { + "id": "pm-9_obj_c.2.b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-9(c)[2][b]" + } + ], + "prose": [ + "\u003cp\u003eas required.\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003erisk management strategy\u003c/p\u003e", + "\u003cp\u003eprocedures addressing development, implementation, review, and update of the risk management strategy\u003c/p\u003e", + "\u003cp\u003erisk assessment results relevant to the risk management strategy\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for development, implementation, review, and update of the risk management strategy\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for development, implementation, review, and update of the risk management strategy\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting the development, implementation, review, and update of the risk management strategy\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pm-10", + "class": "SP800-53", + "title": "Security Authorization Process", + "props": [ + { + "class": "name", + "value": "PM-10" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-10_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-10a." + } + ], + "prose": [ + "\u003cp\u003eManages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;\u003c/p\u003e" + ] + }, + { + "id": "pm-10_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-10b." + } + ], + "prose": [ + "\u003cp\u003eDesignates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and\u003c/p\u003e" + ] + }, + { + "id": "pm-10_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-10c." + } + ], + "prose": [ + "\u003cp\u003eFully integrates the security authorization processes into an organization-wide risk management program.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eSecurity authorization processes for information systems and environments of operation require the implementation of an organization-wide risk management process, a Risk Management Framework, and associated security standards and guidelines. Specific roles within the risk management process include an organizational risk executive (function) and designated authorizing officials for each organizational information system and common control provider. Security authorization processes are integrated with organizational continuous monitoring processes to facilitate ongoing understanding and acceptance of risk to organizational operations and assets, individuals, other organizations, and the Nation.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ca-6" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-10_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-10(a)" + } + ], + "prose": [ + "\u003cp\u003emanages (i.e., documents, tracks, and reports) the security state of organizational information systems and the environments in which those systems operate through security authorization processes;\u003c/p\u003e" + ] + }, + { + "id": "pm-10_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-10(b)" + } + ], + "prose": [ + "\u003cp\u003edesignates individuals to fulfill specific roles and responsibilities within the organizational risk management process; and\u003c/p\u003e" + ] + }, + { + "id": "pm-10_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-10(c)" + } + ], + "prose": [ + "\u003cp\u003efully integrates the security authorization processes into an organization-wide risk management program.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003eprocedures addressing management (i.e., documentation, tracking, and reporting) of the security authorization process\u003c/p\u003e", + "\u003cp\u003esecurity authorization documents\u003c/p\u003e", + "\u003cp\u003elists or other documentation about security authorization process roles and responsibilities\u003c/p\u003e", + "\u003cp\u003erisk assessment results relevant to the security authorization process and the organization-wide risk management program\u003c/p\u003e", + "\u003cp\u003eorganizational risk management strategy\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for management of the security authorization process\u003c/p\u003e", + "\u003cp\u003eauthorizing officials\u003c/p\u003e", + "\u003cp\u003esystem owners, senior information security officer\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for security authorization\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting the security authorization process\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pm-11", + "class": "SP800-53", + "title": "Mission/business Process Definition", + "props": [ + { + "class": "name", + "value": "PM-11" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-11_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-11a." + } + ], + "prose": [ + "\u003cp\u003eDefines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and\u003c/p\u003e" + ] + }, + { + "id": "pm-11_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-11b." + } + ], + "prose": [ + "\u003cp\u003eDetermines information protection needs arising from the defined mission/business processes and revises the processes as necessary, until achievable protection needs are obtained.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, or the Nation through the compromise of information (i.e., loss of confidentiality, integrity, or availability). Information protection needs are derived from the mission/business needs defined by the organization, the mission/business processes selected to meet the stated needs, and the organizational risk management strategy. Information protection needs determine the required security controls for the organization and the associated information systems supporting the mission/business processes. Inherent in defining an organization’s information protection needs is an understanding of the level of adverse impact that could result if a compromise of information occurs. The security categorization process is used to make such potential impact determinations. Mission/business process definitions and associated information protection requirements are documented by the organization in accordance with organizational policy and procedure.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-7" + }, + { + "rel": "related", + "href": "#pm-8" + }, + { + "rel": "related", + "href": "#ra-2" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-11_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-11(a)" + } + ], + "prose": [ + "\u003cp\u003edefines mission/business processes with consideration for information security and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation;\u003c/p\u003e" + ] + }, + { + "id": "pm-11_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-11(b)" + } + ], + "parts": [ + { + "id": "pm-11_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-11(b)[1]" + } + ], + "prose": [ + "\u003cp\u003edetermines information protection needs arising from the defined mission/business process; and\u003c/p\u003e" + ] + }, + { + "id": "pm-11_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-11(b)[2]" + } + ], + "prose": [ + "\u003cp\u003erevises the processes as necessary until achievable protection needs are obtained.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003erisk management strategy\u003c/p\u003e", + "\u003cp\u003eprocedures for determining mission/business protection needs\u003c/p\u003e", + "\u003cp\u003erisk assessment results relevant to determination of mission/business protection needs\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for mission/business processes\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for determining information protection needs for mission/business processes\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for defining mission/business processes and their information protection needs\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pm-12", + "class": "SP800-53", + "title": "Insider Threat Program", + "props": [ + { + "class": "name", + "value": "PM-12" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements an insider threat program that includes a cross-discipline insider threat incident handling team.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOrganizations handling classified information are required, under Executive Order 13587 and the National Policy on Insider Threat, to establish insider threat programs. The standards and guidelines that apply to insider threat programs in classified environments can also be employed effectively to improve the security of Controlled Unclassified Information in non-national security systems. Insider threat programs include security controls to detect and prevent malicious insider activity through the centralized integration and analysis of both technical and non-technical information to identify potential insider threat concerns. A senior organizational official is designated by the department/agency head as the responsible individual to implement and provide oversight for the program. In addition to the centralized integration and analysis capability, insider threat programs as a minimum, prepare department/agency insider threat policies and implementation plans, conduct host-based user monitoring of individual employee activities on government-owned classified computers, provide insider threat awareness training to employees, receive access to information from all offices within the department/agency (e.g., human resources, legal, physical security, personnel security, information technology, information system security, and law enforcement) for insider threat analysis, and conduct self-assessments of department/agency insider threat posture. Insider threat programs can leverage the existence of incident handling teams organizations may already have in place, such as computer security incident response teams. Human resources records are especially important in this effort, as there is compelling evidence to show that some types of insider crimes are often preceded by nontechnical behaviors in the workplace (e.g., ongoing patterns of disgruntled behavior and conflicts with coworkers and other colleagues). These precursors can better inform and guide organizational officials in more focused, targeted monitoring efforts. The participation of a legal team is important to ensure that all monitoring activities are performed in accordance with appropriate legislation, directives, regulations, policies, standards, and guidelines.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#ac-6" + }, + { + "rel": "related", + "href": "#at-2" + }, + { + "rel": "related", + "href": "#au-6" + }, + { + "rel": "related", + "href": "#au-7" + }, + { + "rel": "related", + "href": "#au-10" + }, + { + "rel": "related", + "href": "#au-12" + }, + { + "rel": "related", + "href": "#au-13" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#ia-4" + }, + { + "rel": "related", + "href": "#ir-4" + }, + { + "rel": "related", + "href": "#mp-7" + }, + { + "rel": "related", + "href": "#pe-2" + }, + { + "rel": "related", + "href": "#ps-3" + }, + { + "rel": "related", + "href": "#ps-4" + }, + { + "rel": "related", + "href": "#ps-5" + }, + { + "rel": "related", + "href": "#ps-8" + }, + { + "rel": "related", + "href": "#sc-7" + }, + { + "rel": "related", + "href": "#sc-38" + }, + { + "rel": "related", + "href": "#si-4" + }, + { + "rel": "related", + "href": "#pm-1" + }, + { + "rel": "related", + "href": "#pm-14" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization implements an insider threat program that includes a cross-discipline insider threat incident handling team. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003einsider threat program documentation\u003c/p\u003e", + "\u003cp\u003eprocedures for the insider threat program\u003c/p\u003e", + "\u003cp\u003erisk assessment results relevant to insider threats\u003c/p\u003e", + "\u003cp\u003elist or other documentation on the cross-discipline insider threat incident handling team\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for the insider threat program\u003c/p\u003e", + "\u003cp\u003emembers of the cross-discipline insider threat incident handling team\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for implementing the insider threat program and the cross-discipline insider threat incident handling team\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the insider threat program and the cross-discipline insider threat incident handling team\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pm-13", + "class": "SP800-53", + "title": "Information Security Workforce", + "props": [ + { + "class": "name", + "value": "PM-13" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization establishes an information security workforce development and improvement program.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eInformation security workforce development and improvement programs include, for example: (i) defining the knowledge and skill levels needed to perform information security duties and tasks; (ii) developing role-based training programs for individuals assigned information security roles and responsibilities; and (iii) providing standards for measuring and building individual qualifications for incumbents and applicants for information security-related positions. Such workforce programs can also include associated information security career paths to encourage: (i) information security professionals to advance in the field and fill positions with greater responsibility; and (ii) organizations to fill information security-related positions with qualified personnel. Information security workforce development and improvement programs are complementary to organizational security awareness and training programs. Information security workforce development and improvement programs focus on developing and institutionalizing core information security capabilities of selected personnel needed to protect organizational operations, assets, and individuals.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-2" + }, + { + "rel": "related", + "href": "#at-3" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization establishes an information security workforce development and improvement program. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003einformation security workforce development and improvement program documentation\u003c/p\u003e", + "\u003cp\u003eprocedures for the information security workforce development and improvement program\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for the information security workforce development and improvement program\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for implementing information security workforce development and improvement program\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the information security workforce development and improvement program\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pm-14", + "class": "SP800-53", + "title": "Testing, Training, and Monitoring", + "props": [ + { + "class": "name", + "value": "PM-14" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-14_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-14a." + } + ], + "prose": [ + "\u003cp\u003eImplements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-14_smt_a.1", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-14a.1." + } + ], + "prose": [ + "\u003cp\u003eAre developed and maintained; and\u003c/p\u003e" + ] + }, + { + "id": "pm-14_smt_a.2", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-14a.2." + } + ], + "prose": [ + "\u003cp\u003eContinue to be executed in a timely manner;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pm-14_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-14b." + } + ], + "prose": [ + "\u003cp\u003eReviews testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response actions.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eThis control ensures that organizations provide oversight for the security testing, training, and monitoring activities conducted organization-wide and that those activities are coordinated. With the importance of continuous monitoring programs, the implementation of information security across the three tiers of the risk management hierarchy, and the widespread use of common controls, organizations coordinate and consolidate the testing and monitoring activities that are routinely conducted as part of ongoing organizational assessments supporting a variety of security controls. Security training activities, while typically focused on individual information systems and specific roles, also necessitate coordination across all organizational elements. Testing, training, and monitoring plans and activities are informed by current threat and vulnerability assessments.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#at-3" + }, + { + "rel": "related", + "href": "#ca-7" + }, + { + "rel": "related", + "href": "#cp-4" + }, + { + "rel": "related", + "href": "#ir-3" + }, + { + "rel": "related", + "href": "#si-4" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-14_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-14(a)" + } + ], + "prose": [ + "\u003cp\u003eimplements a process for ensuring that organizational plans for conducting security testing, training, and monitoring activities associated with organizational information systems:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-14_obj_a.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-14(a)(1)" + } + ], + "parts": [ + { + "id": "pm-14_obj_a.1.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-14(a)(1)[1]" + } + ], + "prose": [ + "\u003cp\u003eare developed;\u003c/p\u003e" + ] + }, + { + "id": "pm-14_obj_a.1.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-14(a)(1)[2]" + } + ], + "prose": [ + "\u003cp\u003eare maintained;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pm-14_obj_a.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-14(a)(2)" + } + ], + "prose": [ + "\u003cp\u003econtinue to be executed in a timely manner;\u003c/p\u003e" + ] + } + ] + }, + { + "id": "pm-14_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-14(b)" + } + ], + "prose": [ + "\u003cp\u003ereviews testing, training, and monitoring plans for consistency with:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-14_obj_b.1", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-14(b)[1]" + } + ], + "prose": [ + "\u003cp\u003ethe organizational risk management strategy; and\u003c/p\u003e" + ] + }, + { + "id": "pm-14_obj_b.2", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-14(b)[2]" + } + ], + "prose": [ + "\u003cp\u003eorganization-wide priorities for risk response actions.\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003eplans for conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp\u003eorganizational procedures addressing development and maintenance of plans for conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp\u003erisk management strategy\u003c/p\u003e", + "\u003cp\u003eprocedures for review of plans for conducting security testing, training, and monitoring activities for consistency with risk management strategy and risk response priorities\u003c/p\u003e", + "\u003cp\u003eresults of risk assessments associated with conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp\u003eevidence that plans for conducting security testing, training, and monitoring activities are executed in a timely manner\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with responsibility for developing and maintaining plans for conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for development and maintenance of plans for conducting security testing, training, and monitoring activities\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting development and maintenance of plans for conducting security testing, training, and monitoring activities\u003c/p\u003e" + ] + } + ] + } + ], + "references": { + "refs": null + } + }, + { + "id": "pm-15", + "class": "SP800-53", + "title": "Contacts with Security Groups and Associations", + "props": [ + { + "class": "name", + "value": "PM-15" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization establishes and institutionalizes contact with selected groups and associations within the security community:\u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-15_smt_a", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-15a." + } + ], + "prose": [ + "\u003cp\u003eTo facilitate ongoing security education and training for organizational personnel;\u003c/p\u003e" + ] + }, + { + "id": "pm-15_smt_b", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-15b." + } + ], + "prose": [ + "\u003cp\u003eTo maintain currency with recommended security practices, techniques, and technologies; and\u003c/p\u003e" + ] + }, + { + "id": "pm-15_smt_c", + "class": "item", + "props": [ + { + "class": "name", + "value": "PM-15c." + } + ], + "prose": [ + "\u003cp\u003eTo share current security-related information including threats, vulnerabilities, and incidents.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eOngoing contact with security groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Security groups and associations include, for example, special interest groups, forums, professional associations, news groups, and/or peer groups of security professionals in similar organizations. Organizations select groups and associations based on organizational missions/business functions. Organizations share threat, vulnerability, and incident information consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#si-5" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization establishes and institutionalizes contact with selected groups and associations with the security community to: \u003c/p\u003e" + ], + "parts": [ + { + "id": "pm-15_obj_a", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-15(a)" + } + ], + "prose": [ + "\u003cp\u003efacilitate ongoing security education and training for organizational personnel;\u003c/p\u003e" + ] + }, + { + "id": "pm-15_obj_b", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-15(b)" + } + ], + "prose": [ + "\u003cp\u003emaintain currency with recommended security practices, techniques, and technologies; and\u003c/p\u003e" + ] + }, + { + "id": "pm-15_obj_c", + "class": "objective", + "props": [ + { + "class": "name", + "value": "PM-15(c)" + } + ], + "prose": [ + "\u003cp\u003eshare current security-related information including threats, vulnerabilities, and incidents.\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003erisk management strategy\u003c/p\u003e", + "\u003cp\u003eprocedures for contacts with security groups and associations\u003c/p\u003e", + "\u003cp\u003eevidence of established and institutionalized contact with security groups and associations\u003c/p\u003e", + "\u003cp\u003elists or other documentation about contact with and/or membership in security groups and associations\u003c/p\u003e", + "\u003cp\u003eother relevant documents or records\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "INTERVIEW" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational personnel with information security program planning and plan implementation responsibilities\u003c/p\u003e", + "\u003cp\u003eorganizational personnel responsible for establishing and institutionalizing contact with security groups and associations\u003c/p\u003e", + "\u003cp\u003eorganizational personnel with information security responsibilities\u003c/p\u003e", + "\u003cp\u003epersonnel from selected groups and associations with which the organization has established and institutionalized contact\u003c/p\u003e" + ] + } + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "TEST" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for establishing and institutionalizing contact with security groups and associations\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting contacts with security groups and associations\u003c/p\u003e" + ] + } + ] + } + ] + }, + { + "id": "pm-16", + "class": "SP800-53", + "title": "Threat Awareness Program", + "props": [ + { + "class": "name", + "value": "PM-16" + } + ], + "parts": [ + { + "class": "statement", + "prose": [ + "\u003cp\u003eThe organization implements a threat awareness program that includes a cross-organization information-sharing capability.\u003c/p\u003e" + ] + }, + { + "class": "guidance", + "prose": [ + "\u003cp\u003eBecause of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it is becoming more likely that adversaries may successfully breach or compromise organizational information systems. One of the best techniques to address this concern is for organizations to share threat information. This can include, for example, sharing threat events (i.e., tactics, techniques, and procedures) that organizations have experienced, mitigations that organizations have found are effective against certain types of threats, threat intelligence (i.e., indications and warnings about threats that are likely to occur). Threat information sharing may be bilateral (e.g., government-commercial cooperatives, government-government cooperatives), or multilateral (e.g., organizations taking part in threat-sharing consortia). Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared.\u003c/p\u003e" + ], + "links": [ + { + "rel": "related", + "href": "#pm-12" + }, + { + "rel": "related", + "href": "#pm-16" + } + ] + }, + { + "class": "objective", + "prose": [ + "\u003cp\u003eDetermine if the organization implements a threat awareness program that includes a cross-organization information-sharing capability. \u003c/p\u003e" + ] + }, + { + "class": "assessment", + "props": [ + { + "class": "method", + "value": "EXAMINE" + } + ], + "parts": [ + { + "class": "objects", + "prose": [ + "\u003cp\u003eInformation security program plan\u003c/p\u003e", + "\u003cp\u003ethreat awareness program documentation\u003c/p\u003e", + "\u003cp\u003eprocedures for the threat awareness program\u003c/p\u003e", + "\u003cp\u003erisk assessment results relevant to threat awareness\u003c/p\u003e", + "\u003cp\u003elist or other documentation on the cross-organization 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"class": "objects", + "prose": [ + "\u003cp\u003eOrganizational processes for implementing the threat awareness program\u003c/p\u003e", + "\u003cp\u003eOrganizational processes for implementing the cross-organization information-sharing capability\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the threat awareness program\u003c/p\u003e", + "\u003cp\u003eautomated mechanisms supporting and/or implementing the cross-organization information-sharing capability\u003c/p\u003e" + ] + } + ] + } + ] + } + ] + } + ] + } +} \ No newline at end of file diff --git a/examples/SP800-53/NIST_SP-800-53_rev4_declarations.json b/examples/SP800-53/NIST_SP-800-53_rev4_declarations.json new file mode 100644 index 0000000000..8f6b11f49f --- /dev/null +++ b/examples/SP800-53/NIST_SP-800-53_rev4_declarations.json @@ -0,0 +1,177 @@ +{ + "declarations": { + "propertyDeclarations": [ + { + "class": "name", + "context": "SP800-53", + "singleton": true, + "required": true, + 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