Security and Privacy Controls for Information Systems and Organizations

This publication contains a comprehensive catalog of technical and nontechnical security and privacy controls. The controls can support a variety of specialty applications including the Risk Management Framework, Cybersecurity Framework, and Systems Engineering Processes used for developing systems, products, components, and services and for protecting organizations, systems, and individuals.

Authority

This publication has been developed by NIST to further its statutory responsibilities under the Federal Information Security Modernization Act (FISMA) of 2014, 44 U.S.C. § 3551 et seq., Public Law (P.L.) 113-283. NIST is responsible for developing information security standards and guidelines, including minimum requirements for federal information systems, but such standards and guidelines shall not apply to national security systems without the express approval of appropriate federal officials exercising policy authority over such systems. This guideline is consistent with the requirements of the Office of Management and Budget (OMB) Circular A- 130.

Nothing in this publication should be taken to contradict the standards and guidelines made mandatory and binding on federal agencies by the Secretary of Commerce under statutory authority. Nor should these guidelines be interpreted as altering or superseding the existing authorities of the Secretary of Commerce, Director of OMB, or any other federal official. This publication may be used by nongovernmental organizations on a voluntary basis and is not subject to copyright in the United States. Attribution would, however, be appreciated by NIST.

Certain commercial entities, equipment, or materials may be identified in this document to describe an experimental procedure or concept adequately. Such identification is not intended to imply recommendation or endorsement by NIST, nor is it intended to imply that the entities, materials, or equipment are necessarily the best available for the purpose.
There may be references in this publication to other publications currently under development by NIST in accordance with its assigned statutory responsibilities. The information in this publication, including concepts, practices, and methodologies, may be used by federal agencies even before the completion of such companion publications. Thus, until each publication is completed, current requirements, guidelines, and procedures, where they exist, remain operative. For planning and transition purposes, federal agencies may wish to closely follow the development of these new publications by NIST.
Organizations are encouraged to review draft publications during the designated public comment periods and provide feedback to NIST. Many NIST cybersecurity publications, other than the ones noted above, are available at https://csrc.nist.gov/publications.

Reports on Computer Systems Technology

The Information Technology Laboratory (ITL) at the National Institute of Standards and Technology (NIST) promotes the U.S. economy and public welfare by providing technical leadership for the Nation’s measurement and standards infrastructure. ITL develops tests, test methods, reference data, proof of concept implementations, and technical analyses to advance the development and productive use of information technology (IT). ITL’s responsibilities include the development of management, administrative, technical, and physical standards and guidelines for the cost-effective security of other than national security-related information and protection of individuals’ privacy in federal information systems. The Special Publication 800-series reports on ITL’s research, guidelines, and outreach efforts in information systems security and its collaborative activities with industry, government, and academic organizations.

Abstract

This publication provides a catalog of security and privacy controls for federal information systems and organizations to protect organizational operations and assets, individuals, other organizations, and the Nation from a diverse set of threats including hostile attacks, natural disasters, structural failures, human errors, and privacy risks. The controls are flexible and customizable and implemented as part of an organization-wide process to manage risk. The controls address diverse requirements derived from mission and business needs, laws, Executive Orders, directives, regulations, policies, standards, and guidelines. The publication describes how to develop specialized sets of controls, or overlays, tailored for specific types of missions and business functions, technologies, environments of operation, and sector-specific applications.
Finally, the consolidated catalog of controls addresses security and privacy from a functionality perspective (i.e., the strength of functions and mechanisms) and an assurance perspective (i.e., the measure of confidence in the security or privacy capability). Addressing both functionality and assurance ensures that information technology products and the information systems that rely on those products are sufficiently trustworthy.

Keywords

Assurance; availability; computer security; confidentiality; FISMA; information security; integrity; personally identifiable information; Privacy Act; privacy controls; privacy functions; privacy requirements; Risk Management Framework; security controls; security functions; security requirements; system; system security.

Notes to Reviewers

As we push computers to “the edge” building an increasingly complex world of interconnected information systems and devices, security and privacy continue to dominate the national dialog. The Defense Science Board in its 2017 report, Task Force on Cyber Defense, provides a sobering assessment of the current vulnerabilities in the U.S. critical infrastructure and the information systems that support the mission essential operations and assets in the public and private sectors.
“…The Task Force notes that the cyber threat to U.S. critical infrastructure is outpacing efforts to reduce pervasive vulnerabilities, so that for the next decade at least the United States must lean significantly on deterrence to address the cyber threat posed by the most capable
U.S. adversaries. It is clear that a more proactive and systematic approach to U.S. cyber deterrence is urgently needed…”

There is an urgent need to further strengthen the underlying information systems, component products, and services that we depend on in every sector of the critical infrastructure—ensuring those systems, components, and services are sufficiently trustworthy and provide the necessary resilience to support the economic and national security interests of the United States. This update to NIST Special Publication 800-53 (Revision 5) responds to the call by the Defense Science Board by embarking on a proactive and systemic approach to develop and make available to a broad base of public and private sector organizations, a comprehensive set of safeguarding measures for all types of computing platforms, including general purpose computing systems, cyber-physical systems, cloud and mobile systems, industrial/process control systems, and Internet of Things (IoT) devices. Those safeguarding measures include security and privacy controls to protect the critical and essential operations and assets of organizations and the personal privacy of individuals. The ultimate objective is to make the information systems we depend on more penetration resistant to attacks; limit the damage from attacks when they occur; and make the systems resilient and survivable.

Revision 5 of this foundational NIST publication represents a one-year effort to develop the next generation security and privacy controls that will be needed to accomplish the above objectives. It includes changes to make the controls more consumable by diverse consumer groups including, for example, enterprises conducting mission and business operations; engineering organizations developing information systems and systems-of-systems; and industry partners building system components, products, and services. The major changes to the publication include:

• Making the security and privacy controls more outcome-based by changing the structure of the controls;
• Fully integrating the privacy controls into the security control catalog creating a consolidated and unified set of controls for information systems and organizations, while providing summary and mapping tables for privacy-related controls
• Separating the control selection process from the actual controls, thus allowing the controls to be used by different communities of interest including systems engineers, software developers, enterprise architects; and mission/business owners;
• Promoting integration with different risk management and cybersecurity approaches and lexicons, including the Cybersecurity Framework;
• Clarifying the relationship between security and privacy to improve the selection of controls necessary to address the full scope of security and privacy risks; and
• Incorporating new, state-of-the-practice controls based on threat intelligence and empirical attack data, including controls to strengthen cybersecurity and privacy governance and accountability.

In separating the process of control selection from the security and privacy controls, a significant amount of tailoring guidance and other informative material previously contained in Special Publication 800-53 was eliminated from the publication. That content will be moved to other publications such as NIST Special Publication 800-37 (Risk Management Framework) during the next update cycle for that document. The context will also remain active in Special Publication 800-53 Revision 4, until the subsequent publication becomes final. NIST continues to work with the privacy community to better integrate privacy and security controls, and is particularly interested in how best to achieve such integration in this publication.

Your feedback on this draft publication is important to us. We appreciate each contribution from our reviewers. The very insightful comments from both the public and private sectors, nationally and internationally, continue to help shape the final publication to ensure that it meets the needs and expectations of our customers. NIST anticipates producing the final draft of this publication in October 2017 and publishing the final version not later than December 29, 2017.

– RON ROSS

NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY

COMMON SECURITY AND PRIVACY FOUNDATIONS

In developing standards and guidelines required by FISMA, NIST consults with federal agencies, state, local, and tribal governments, and private sector organizations to improve information security and privacy; avoid unnecessary and costly duplication of effort; and ensure that its publications are complementary with the standards and guidelines used for the protection of national security systems. In addition to a comprehensive and transparent public review and vetting process, NIST is engaged in a collaborative partnership with the Office of Management and Budget, Office of the Director of National Intelligence, Department of Defense, Committee on National Security Systems, and the Federal Privacy Council—and has established a risk management framework applicable to both information security and privacy for the federal government. This common foundation for security and privacy provides the Civil, Defense, and Intelligence Communities of the federal government and their contractors, more cost-effective, flexible, and consistent ways to manage security and privacy risks to organizational operations and assets, individuals, other organizations, and the Nation. The unified framework also provides a strong basis for reciprocal acceptance of authorization decisions and facilitate information sharing and collaboration. NIST continues to work with public and private sector entities to establish mappings and relationships between the information security and privacy standards and guidelines developed by NIST and those developed by external organizations.

DEVELOPMENT OF INFORMATION SYSTEMS, COMPONENTS, AND SERVICES

With a renewed nation-wide emphasis on the use of trustworthy information systems and supply chain security, it is essential that organizations can express their security and privacy requirements with clarity and specificity in order to engage the information technology industry and obtain the systems, components, and services necessary for mission and business success. Accordingly, this publication provides controls in the System and Services Acquisition (SA) family that address requirements for the development of information systems, system components, and system services. To that end, many of the controls in the SA family are directed at developers of those systems, components, and services. It is important for organizations to recognize that the scope of the controls in that family includes information system, component, and service development and the developers associated with such development whether the development is conducted internally or externally by industry partners (manufacturers, vendors, integrators) through the contracting and acquisition processes. The affected controls in the control catalog include SA-8, SA-10, SA-11, SA-15, SA-16, SA-17, SA-20, and SA-21.

SECURITY AS A DESIGN PROBLEM

“Providing satisfactory security controls in a computer system is in itself a system design problem. A combination of hardware, software, communications, physical, personnel and administrative-procedural safeguards is required for comprehensive security. In particular, software safeguards alone are not sufficient.”

— The Ware Report

Defense Science Board Task Force on Computer Security, 1970.

INFORMATION SYSEMS — A BROAD-BASED PERSPECTIVE

As we push computers to “the edge” building an increasingly complex world of interconnected information systems and devices, security and privacy continue to dominate the national dialog. There is an urgent need to further strengthen the underlying information systems, component products, and services that we depend on in every sector of the critical infrastructure—ensuring those systems, components, and services are sufficiently trustworthy and provide the necessary resilience to support the economic and national security interests of the United States. NIST Special Publication 800-53 (Revision 5) responds to this need by embarking on a proactive and systemic approach to develop and make available to a broad base of public and private sector organizations, a comprehensive set of security and privacy safeguarding measures for all types of computing platforms, including general purpose computing systems; cyber-physical systems; cloud and mobile systems; industrial and process control systems; and Internet of Things (IoT) devices. Those safeguarding measures include both security and privacy controls to protect the critical and essential operations and assets of organizations and personal privacy of individuals. The ultimate objective is to make the information systems we depend on more penetration resistant to attacks; limit the damage from attacks when they occur; and make the systems resilient and survivable.

CHAPTER ONE: INTRODUCTION

THE NEED TO PROTECT INFORMATION, SYSTEMS, ORGANIZATIONS, AND INDIVIDUALS

Modern information systems (An information system is a discrete set of information resources organized for the collection, processing, maintenance, use sharing, dissemination, or disposition of information.) can include a wide variety of computing platforms, including, for example, industrial and process control systems; general purpose computing systems; cyber-physical systems; weapons systems; super computers;
communications systems; environmental control systems; embedded devices and sensors; and small form factor devices such as smart phones and tablets. The commonality in these computing platforms is that they contain computers with complex software and firmware and provide a capability that supports the essential missions and business functions of organizations.

Security controls are the safeguards or countermeasures prescribed for an information system or an organization to protect the confidentiality, integrity, and availability of the system and its information. Privacy controls are the administrative, technical, and physical safeguards employed within an agency to ensure compliance with applicable privacy requirements and to manage privacy risks. Security and privacy controls are selected and implemented to satisfy a set of defined security and privacy requirements and to manage risk. Security and privacy requirements are typically derived from applicable laws, Executive Orders, directives, policies, and regulations. The selection and effective implementation of security and privacy controls are important tasks that can have significant implications on the operations and assets of organizations as well as the welfare of individuals and the Nation. Organizational operations include mission, functions, image, and reputation.

There are several key questions that should be answered by organizations when addressing their security and privacy concerns:
• What security and privacy controls are needed to satisfy the organization’s security and privacy requirements and to adequately manage risk?
• Have the security and privacy controls been implemented or is there an implementation plan in place?
• What is the desired or required level of assurance (i.e., confidence) that the selected security and privacy controls, as implemented, are effective in their application?

Security and privacy control effectiveness addresses the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the designated security and privacy requirements for the system.

The answers to these questions are not given in isolation, but rather in the context of an effective risk management process for the organization that identifies, assesses, responds to, and monitors on an ongoing basis, security and privacy risks arising from its information and systems. The security and privacy controls in this publication are recommended for use by organizations to satisfy their information security and privacy requirements. The controls are employed as part of a well-defined and effective risk management process that supports organizational information security and privacy programs. In turn, organizational information security and privacy programs support the missions and business functions of the organization.

It is of paramount importance that responsible officials understand the security and privacy risks and other factors that could adversely affect organizational operations and assets, individuals, other organizations, and the Nation.5 These officials must also understand the current status of organizational security and privacy programs and the security and privacy controls planned or in place to protect information, information systems, and organizations in order to make informed judgments and investments that respond to identified risks in an acceptable manner. The ultimate objective is to manage the risks through the selection and implementation of security and privacy controls.

1.1 PURPOSE AND APPLICABILITY

This publication establishes controls for federal information systems6 and organizations. The use of these controls is mandatory, in accordance with the provisions of the Federal Information Security Modernization Act7 (FISMA), which require the development and maintenance of minimum controls to protect federal information and information systems. The controls can be implemented within any organization or information system that processes, stores, or transmits information. This publication is intended to help organizations manage risk and to satisfy the security and privacy requirements in FISMA, the Privacy Act of 1974, OMB policies (e.g., OMB Circular A-130), and designated Federal Information Processing Standards, among others, by:
• Providing a comprehensive and flexible catalog of security and privacy controls to meet current protection needs and the demands of future needs based on changing threats, requirements, and technologies;
• Creating a foundation for the development of assessment methods and procedures for determining the effectiveness of the controls; and
• Improving communication among organizations by providing a common lexicon that supports discussion of security, privacy, and risk management concepts.

While the controls established in this publication are for federal information systems and organizations, state, local, and tribal governments, as well as private sector organizations are encouraged to consider using these guidelines, as appropriate.

Finally, the controls in the catalog are independent of the specific process employed to select those controls. Such selection processes can be part of an organization-wide risk management process, a life cycle-based systems engineering process, or a risk management or cybersecurity framework.8 The control selection criteria can be guided and informed by many factors, for example, stakeholder protection needs and concerns; mission and business needs; standards and best practices; and requirements to comply with laws, Executive Orders, directives, policies, and regulations. The comprehensive nature of the security and privacy controls coupled with a flexible, risk-based control selection process, can help organizations comply with applicable security and privacy requirements and achieve adequate security for their information systems.

5 This includes risk to critical infrastructure and key resources described in Homeland Security Presidential Directive 7.

6 A federal information system is an information system used or operated by an agency, by a contractor of an agency, or by another organization on behalf of an agency.

7 Information systems that have been designated as national security systems, as defined in 44 U.S.C., Section 3542, are not subject to the requirements in FISMA, however, the controls established in this publication may be selected for national security systems as otherwise required (e.g., the Privacy Act of 1974) or with the approval of federal officials exercising policy authority over such systems. CNSS Instruction 1253 provides guidance for national security systems.

8 OMB Circular A-130 requires federal agencies to use the NIST Risk Management Framework for the selection of controls for federal information systems.

1.1            TARGET AUDIENCE

This publication is intended to serve a diverse audience including:

• Individuals with system, information security, privacy, or risk management and oversight responsibilities including, for example, authorizing officials, Chief Information Officers, Senior Agency Information Security Officers, and Senior Agency Officials for Privacy;
• Individuals with system development responsibilities including, for example, mission or business owners, program managers, systems engineers, systems security engineers, privacy engineers, software developers, systems integrators, and acquisition or procurement officials;
• Individuals with security and privacy implementation and operations responsibilities including, for example, mission or business owners, system owners, information owners or stewards, system administrators, system security or privacy officers;
• Individuals with security and privacy assessment and monitoring responsibilities including, for example, auditors, Inspectors General, system evaluators, control assessors, independent verifiers and validators, and analysts; and
• Commercial entities including industry partners, producing component products and systems, creating security and privacy technologies, or providing services or capabilities that support information security or

 

1.2            ORGANIZATIONAL RESPONSIBILITIES

Achieving adequate security and privacy throughout an organization is a complex, multifaceted undertaking that requires:

• Well-defined and clearly articulated security and privacy requirements for systems and organizations;
• Rigorous security and privacy planning and system life cycle management;
• The use of trustworthy information system components based on state-of-the-practice hardware, firmware, and software development processes;
• The application of system security and privacy engineering principles and practices to effectively integrate system components into information systems;
• The employment of security and privacy practices that are well documented and integrated into and supportive of the institutional and operational processes of organizations; and
• Continuous monitoring of information systems and organizations to determine the ongoing effectiveness of security and privacy controls, changes in information systems and environments of operation, and the state of security and privacy organization-wide.9

Organizations must realistically assess risks to organizational operations and assets, individuals, other organizations, and the Nation that arise from the execution of their missions and business functions and by placing information systems into operation or continuing operations. Realistic assessments of risk require a thorough understanding of the susceptibility to threats based on the vulnerabilities within information systems and organizations and the likelihood and potential adverse impacts of successful exploitations of such vulnerabilities by those threats.10 These risk assessments also require an understanding of privacy risks.11 To address these concerns, security and privacy requirements must be satisfied with the full knowledge and understanding of the risk management strategy of the organization considering the cost, schedule, and performance issues associated with the design, development, acquisition, deployment, operation, and sustainment of organizational information systems.

9 NIST Special Publication 800-137 provides guidance on continuous monitoring of systems and organizations.

10 NIST Special Publication 800-30 provides guidance on the risk assessment process.

The catalog of security and privacy controls can be effectively used to protect organizations, individuals, and information systems from traditional and advanced persistent threats in varied operational, environmental, and technical scenarios. The controls can also be used to demonstrate compliance with a variety of governmental, organizational, or institutional security and privacy requirements. Organizations have the responsibility to select the appropriate security and privacy controls, to implement the controls correctly, and to demonstrate the effectiveness of the controls in satisfying security and privacy requirements.12

Organizational risk assessments can inform the security and privacy control selection process. The selection process results in an agreed-upon set of security and privacy controls addressing specific mission or business needs consistent with organizational risk tolerance.13 The process preserves, to the greatest extent possible, the agility and flexibility that organizations need to address an increasingly sophisticated and hostile threat space, mission and business requirements, rapidly changing technologies, and many of environments of operation. Security and privacy controls can also be used in developing overlays or for unique or specialized missions or business applications, information systems, operational environments, technologies, and/or communities of interest.14

1.3            RELATIONSHIP TO OTHER PUBLICATIONS

This publication establishes a set of controls with the breadth and depth to satisfy a diverse set of requirements, including security and privacy requirements,15 that have been levied on information systems and organizations—and that are consistent with and complementary to other established national and international security and privacy standards. To develop a broadly applicable and technically sound set of controls for information systems and organizations, many sources were considered during the development of this publication. These sources included requirements and controls from the defense, financial, healthcare, intelligence, manufacturing, industrial control, and audit communities as well as national and international standards organizations. The security and privacy controls in this publication have been mapped to international security and privacy standards to help ensure maximum usability and applicability. In addition, the controls in this publication have been mapped to the requirements for federal information systems included in OMB Circular A-130, Managing Information as a Strategic Resource.16

11 NIST Internal Report 8062 introduces privacy risk concepts.

12 NIST Special Publication 800-53A provides guidance on assessing the effectiveness of controls.

13 Authorizing officials or their designated representatives, by accepting the security and privacy plans, agree to the set of security and privacy controls proposed to meet the security and privacy requirements for organizations and systems.

14 Appendix G provides guidance for tailoring security and privacy control baselines and for developing overlays to support the specific protection needs and requirements of stakeholders and their organizations.

15 Security and privacy requirements are those requirements levied on a system or organization that are derived from applicable laws, Executive Orders, directives, regulations, policies, standards, and mission/business needs to ensure the confidentiality, integrity, and availability of information processed, stored, or transmitted and individual privacy.

16 OMB Circular A-130 establishes general policy for the planning, budgeting, governance, acquisition, and management of federal information, personnel, equipment, funds, IT resources and supporting infrastructure and services.

1.4            REVISIONS AND EXTENSIONS

The security and privacy controls described in this publication represent the state-of-the-practice protection measures for individuals, information systems, and organizations. The controls are reviewed and revised periodically to reflect the experience gained from using the controls; new or revised laws, Executive Orders, directives, regulations, policies, and standards; changing security and privacy requirements; emerging threats, vulnerabilities, attack and information processing methods; and the availability of new technologies. The security and privacy controls in the control catalog are also expected to change over time as controls are withdrawn, revised, and added. In addition to the need for change, the need for stability is addressed by requiring that proposed modifications to security and privacy controls go through a rigorous and transparent public review process to obtain public and private sector feedback and to build a consensus for such change. This provides a stable, flexible, and technically sound set of security and privacy controls for the organizations that use the control catalog.

1.5            PUBLICATION ORGANIZATION

The remainder of this special publication is organized as follows:

• Chapter Two describes the fundamental concepts associated with security and privacy controls including the relationship between requirements and controls; the basic structure of controls and how the controls are organized in the consolidated catalog; the different types of controls; the grouping of controls into baselines; the use of common controls and inheritance of security and privacy capabilities; and assurance and
• Chapter Three provides a consolidated catalog of security and privacy controls and control enhancements17 including supplemental guidance to explain the purpose and meaning of the controls and to provide useful information regarding control implementation and assessment; a list of related controls to show useful relationships dependencies among controls; and a list of references to supporting publications that may be helpful to
• Supporting appendices provide additional information on the use of security and privacy controls including: general references;18 definitions and terms; acronyms; exemplar control baselines for organizations and information systems; summary tables for security and privacy controls by families; summary and mapping tables for privacy-related controls; tailoring guidance for controls and baselines; keywords; and control mappings to international standards.

17 The security and privacy controls in Special Publication 800-53 are available online and can be obtained in various formats from the NIST web site.

18 Unless otherwise stated, all references to NIST publications in this document are to the most recent version of those publications.

CHAPTER TWO

THE FUNDAMENTALS

STRUCTURE, TYPE, AND ORGANIZATION OF SECURITY AND PRIVACY CONTROLS

This chapter presents the fundamental concepts associated with security and privacy controls including: the relationship between requirements and controls; the structure of controls and how the controls are organized in the consolidated control catalog; the different types of controls for information systems and organizations; the purpose of control baselines and how tailoring is used to customize controls and baselines; and the importance of control assurance for both security and privacy and its effect on achieving trustworthy systems.

2.1     REQUIREMENTS AND CONTROLS

Before embarking on the process of selecting security and privacy controls, it is important to understand the relationship between controls and requirements.19 A requirement is a statement that translates or expresses a specific need including associated constraints and conditions.20 A requirement levied on an information system or an organization can be derived from different sources, including for example, laws, Executive Orders, directives, policies, regulations, and mission/business needs. Requirements address the capability the information system is designed to provide, for example, processing payroll transactions, simulating weather patterns, controlling industrial processes, or performing genome sequencing for advanced medical research.

Security and privacy requirements are a subset of the requirements that can be levied on an information system or organization. Security requirements ensure the confidentiality, integrity, and availability of information being processed, stored, or transmitted by the information system. Privacy requirements advance individual privacy associated with an organizations’s creation, collection, use, processing, storage, maintenance, dissemination, disclosure, or disposal of personally identifiable information. Such requirements can be used in a variety of contexts from policy- and oversight-related activities to life cycle-related activities that involve information systems development and engineering disciplines.

Security and privacy controls for information systems and organizations help satisfy security and privacy requirements. Controls can be used in a variety of contexts and can serve many purposes. When used in the security and privacy context, controls21 are designed to address the protection needs of organizations, information systems, and individuals. Such needs are specified by a set of security and privacy requirements. Security and privacy controls help an organization satisfy security and privacy requirements and defined security and privacy policies. It is important to understand the complementary nature of requirements and controls and how they work together to protect organizations, information systems, and individuals.

19 There is no single, prescribed, or mandatory relationship between requirements and controls. The relationship is completely dependent on the organization’s use of controls, which may be dynamic and evolving.

20 See ISO/IEC/IEEE 29148.

21 In accordance with OMB Circular A-130, security controls are the safeguards or countermeasures prescribed for an information system or an organization to protect the confidentiality, integrity, and availability of the system and its information. Privacy controls are the administrative, technical, and physical safeguards employed within an agency to ensure compliance with applicable privacy requirements and manage privacy risks.

Finally, information systems represent a complex machine-human environment, and as such, the functions of the systems can be realized by technological and human elements. Accordingly, the mechanisms implementing security and privacy controls in information systems can include both technical and non-technical (i.e., administrative) controls. These controls are represented in the broad array of families in the consolidated control catalog in Chapter Three. In addition, security and privacy controls can be employed in a variety of contexts supported by different types of risk- based decision processes. For example, the controls may be used as part of the Risk Management Framework (See NIST Special Publication 800-37.) or a comprehensive, life cycle-based systems engineering process. (See NIST Special Publication 800-160.) Controls can be viewed as generalized statements that express the security and privacy functions or capabilities necessary to ensure compliance with applicable requirements and to manage risk.

Irrespective of how organizations define the terms requirement and control, it is important for organizations to clearly establish the relationship so that expectations for security and privacy can be achieved given stakeholder protection needs and concerns for individual privacy; assumptions; constraints placed upon organizations; trade-space decisions; cost, schedule, and performance considerations; and risk management decisions.

2.2     CONTROL STRUCTURE AND ORGANIZATION

Security and privacy controls described in this publication have a well-defined organization and structure. For ease of use in the security and privacy control selection and specification process, controls are organized into twenty families. Of the twenty control families in NIST Special Publication 800-53, seventeen families are aligned with the security requirements in FIPS Publication 200. In addition to those families, three other families address privacy and program management considerations. Each family contains security and privacy controls related to the specific topic of the family. A two-character identifier uniquely identifies each control family, for example, PS (Personnel Security). Security and privacy controls may involve aspects of policy, oversight, supervision, manual processes, and automated mechanisms that are implemented by systems or actions by individuals. Table 1 lists the security and privacy control families and their associated family identifiers.

TABLE 1: SECURITY AND PRIVACY CONTROL FAMILIES

 ID

	FAMILY	ID	FAMILY
AC	Access Control	MP	Media Protection
AT	Awareness and Training	PA	Privacy Authorization
AU	Audit and Accountability	PE	Physical and Environmental Protection
CA	Assessment, Authorization, and Monitoring	PL	Planning
CM	Configuration Management	PM	Program Management
CP	Contingency Planning	PS	Personnel Security
IA	Identification and Authentication	RA	Risk Assessment
IP	Individual Participation	SA	System and Services Acquisition
IR	Incident Response	SC	System and Communications Protection
MA	Maintenance	SI	System and Information Integrity

Security and privacy controls have the following structure: a base control section; a supplemental guidance section; a control enhancements section; a related controls section; and a references section. The control section prescribes a security or privacy capability to be implemented. Such capability is achieved by the activities or actions, automated or nonautomated, carried out by information systems, organizations, and individuals. Organizations designate the responsibility for control design, implementation, management, and monitoring. Organizations have flexibility to implement the controls selected in whatever manner that satisfies the organizational mission or business needs, consistent with law, regulation, and policy.

For some security and privacy controls in the control catalog, a degree of flexibility is provided by allowing organizations to define specific values for designated parameters associated with the controls. This flexibility is achieved as part of a tailoring process using assignment and selection statements embedded within the controls and enclosed by brackets. These parameter statements give organizations the capability to customize controls based on stakeholder security and privacy requirements. The requirements can evolve from a variety of sources including, for example, mission and business needs, laws, Executive Orders, directives, policies, regulations, standards, guidelines, or industry best practices. Risk assessments and organizational risk tolerance are also important factors in defining the values for control parameters. In general, organization-defined parameters used in assignment and selection statements in the base security and privacy controls apply also to the control enhancements associated with those controls. While the parameter statements provide flexibility, organizations are responsible for choosing and assigning the parameters for each selected control. Once specified, the values for the assignment and selection statements become a permanent part of the control. The implementation of the control is assessed against the completed control statement. In contrast to assignment statements, selection statements narrow the range of potential input values by providing a specific list of items from which organizations must choose.

The supplemental guidance section provides non-prescriptive, additional information for a security or privacy control. Organizations can apply the guidance as needed, when defining, developing, implementing, or assessing controls. The supplemental guidance provides important considerations for implementing controls in the context of mission or business requirements, operational environments, or assessments of risk. Supplemental guidance can also explain the purpose or meaning of controls and often includes examples. Control enhancements may also contain supplemental guidance. This occurs when the guidance is not applicable to the entire control but instead is focused on the control enhancement.

The related controls section provides a list of security or privacy controls that directly impact or support the implementation of a control or control enhancement. Security and privacy control enhancements are related to their base control. Related controls that are referenced in the base control are not repeated in the control enhancements. There may, however, be related controls identified for control enhancements that are not referenced in the base control (i.e., the related control is only associated with that specific control enhancement).

The control enhancements section provides statements of security and privacy capability to add functionality or specificity to a base control or to increase the strength of a base control. In both cases, the control enhancements are used in information systems and environments of operation that require greater protection than provided by the base control due to the potential adverse organizational or individual impacts or when organizations require additions to the base control functionality or assurance based on organizational assessments of risk. Control enhancements are numbered sequentially within each control so that the enhancements can be easily identified when selected to supplement the base control.

Each control enhancement has a short subtitle to indicate the intended function or capability provided by the enhancement. In the AU-4 example, if the control enhancement is selected, the control designation becomes AU-4(1). The numerical designation of a control enhancement is used only to identify that enhancement within the control. The designation is not indicative of the strength of the control enhancement, level or degree of protection, or any hierarchical relationship among the enhancements. Control enhancements are not intended to be selected independently.

That is, if a control enhancement is selected, then the corresponding base control must also be selected and implemented. This intent is reflected in the control baselines in Appendix D.

The references section includes a list of applicable standards, guidelines and other useful references that are relevant to a control or control enhancement.26 The references section also contains hyperlinks to specific publications for obtaining additional information for control development, implementation, assessment, and monitoring.

The following example illustrates the structure of a typical control:

AU-4     AUDIT STORAGE CAPACITY

Control (Base Control): Allocate audit record storage capacity to accommodate [Assignment: organization-defined (Control Parameter) audit record retention requirements].

Supplemental Guidance: Organizations 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.

Related Controls: AU-2, AU-5, AU-6, AU-7, AU-9, AU-11, AU-12, AU-14, SI-4.

Control Enhancements:

• AUDIT STORAGE CAPACITY | TRANSFER TO ALTERNATE STORAGE

Control Enhancement: Off-load audit records [Assignment: organization-defined frequency] onto a different system or media than the system being audited.

Enhancement

Supplemental Guidance: Off-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary system to a secondary or alternate system. It is a common process in 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.

Related Controls: None.

References: None.

2.3     TYPES OF CONTROLS

There are three distinct types of security and privacy controls in Chapter Three. These include: common controls, system-specific controls, and hybrid controls. The control types define the scope of applicability for the control; the shared nature or inheritability of the control; and the responsibility for control development, implementation, assessment, and authorization. Each type of control has a specific focus and objective which helps organizations implement the controls effectively and obtain the expected protection benefits. Deploying certain types of controls may also achieve cost benefits by leveraging security and privacy capabilities across many information systems and environments of operation.

26 Publications listed in the references section refer to the most recent versions of those publications. References are provided to assist organizations in applying the security and privacy controls and are not intended to be inclusive or complete.

Common controls are security or privacy controls whose implementation results in a capability that is inheritable by multiple information systems or programs. Controls are deemed inheritable when the information system or program receives protection from the implemented control but the control is developed, implemented, assessed, authorized, and monitored by entities other than those responsible for the system or program. The security and privacy capabilities provided by common controls can be inherited from many sources including, for example, mission/business lines, organizations, enclaves, sites, environments of operation, or other information systems or programs. Many of the controls needed to protect information systems including, for example, physical and environmental protection controls, personal security controls, and many privacy controls, are candidates for common control status. Common controls can include technology- based controls, for example, boundary protection controls, access controls, identification and authentication controls, and controls that are part of cross-domain solutions. The development, implementation, assessment, authorization, and monitoring cost of common controls can be amortized across multiple information systems, programs, and organizational elements.

Organizations assign responsibility for common controls to appropriate officials. These officials, designated as common control providers, develop, implement, assess, authorize, and monitor the organization-defined common controls.27 The identification and selection of common controls is most effectively accomplished as an organization-wide exercise with the active involvement of executive-level personnel including, for example, mission and business owners, risk executives, authorizing officials, Chief Information Officers, Senior Agency Information Security Officers, Senior Agency Officials for Privacy, information owners or information stewards, system owners, and other key stakeholders. The organization-wide common control selection process considers the security and privacy controls necessary to adequately respond to the risks arising from the use of the systems or program inheriting the controls.28 Common controls that affect multiple, but not all systems and programs within the organization, could benefit from taking a similar approach.

27 Organizational officials at the senior leadership level assign responsibility for the development, implementation, assessment, authorization, and monitoring of common controls to appropriate entities. Such entities can be internal or external to the organization.

28 Each potential common control is reviewed for applicability to each organizational system or program.

Common controls are documented in organization-wide security and privacy program plans. The controls may also be documented in the security and privacy plans for information systems that inherit those controls or in situations where the common controls are implemented within specific systems.29 Organizations can describe common controls in a single document or in multiple documents with references to other documents, as appropriate. If program plans contain multiple documents, organizations specify in each document the officials responsible for development, implementation, assessment, authorization, and monitoring of the respective common controls.

When common controls are included in a separate security or privacy plan for an information system, the security or privacy program plans indicate which separate security or privacy plans contain a description of the common controls.

Security and privacy controls not designated as common controls are considered system-specific or hybrid controls. System-specific controls are the primary responsibility of information system owners and the authorizing officials for those systems. Organizations can designate a security or privacy control as hybrid if one part of the control is common and another part of the control is system-specific. For example, an organization may implement the Contingency Planning control using a predefined template for the master contingency plan for all organizational information systems with individual information system owners tailoring the plan for system-specific uses, where appropriate. The division of hybrid controls into common and system-specific parts may vary by organization, depending on the types of information technologies employed, assignment of responsibilities, and the methods used by the organization to manage its controls.

The determination as to whether a security or privacy control is a common, hybrid, or system- specific control is context-dependent. Security and privacy controls cannot be determined to be common, hybrid, or system-specific simply based on reviewing the language of the control. For example, a control may be designated as a system-specific control for one information system, and at the same time be designated as a common control for another information system (i.e., inheriting the control from the first system). One method to determine if a system-specific control may also be designated as a common control for other information systems is to consider who or what depends on the functionality of that control. If a certain part of an information system or solution external to the system depends on the control, then that control may be a candidate for common control status.

29 Organizations ensure that any security or privacy capabilities provided by common controls (i.e., security or privacy capabilities inheritable by other organizational entities) are described in sufficient detail to facilitate understanding of the control implementation by inheriting entities.

Partitioning security and privacy controls into common, hybrid, and system-specific controls can result in significant savings to organizations in implementation and assessment costs as well as a more consistent application of controls organization-wide. While the partitioning of controls into common, hybrid, and system-specific controls is straightforward and intuitive conceptually, the actual application takes planning and coordination. It is necessary to first determine what security and privacy capabilities are needed before organizations assign specific responsibility for how the security and privacy controls are implemented, operated, and maintained.

2.4     SECURITY AND PRIVACY CONTROL RELATIONSHIP

While security and privacy requirements are authoritatively sourced to different laws, regulations, or policies, there is also a strong relationship between the security and privacy domains. One of the Fair Information Practice Principles (FIPPs) is security—a key principle to help ensure the protection of personally identifiable information and individual privacy. Therefore, controls used to manage the confidentiality, integrity, and availability of information and information systems when selected and implemented for information systems that create, collect, use, process, store, maintain, disseminate, disclose, or dispose of personally identifiable information, address security and privacy concerns. Nonetheless, individual privacy cannot be achieved solely through securing personally identifiable information. Consequently, this publication contains controls designed to meet privacy requirements and to manage the privacy risks associated with an organizations’s creation, collection, use, processing, storage, maintenance, dissemination, disclosure, or disposal of personally identifiable information separate from security concerns. Figure 1 illustrates the totality of security and privacy concerns, reflecting common areas of concern and those areas of concern that are unique.

The security and privacy controls in this publication are incorporated into a consolidated control catalog in Chapter Three. Appendix F provides a summary of the privacy controls and control enhancements predominantly for addressing unique privacy concerns. Appendix F is intended to help organizations identify the controls and control enhancements for which privacy programs have primary responsibility. For some controls and enhancements, the selection authority and oversight is shared with the security programs. These controls and controls enhancements are designated as joint controls—that is, the controls and control enhancements can address security and privacy requirements. In those situations, organizations may opt to do a joint implementation or alternatively, the privacy program and security program may implement the respective privacy and security aspects of the control or enhancement separately.

For example, in joint control AT-2, the privacy program may develop and conduct separate privacy-focused training or it could choose to develop coordinated privacy and security training with the security program. For controls and control enhancements that are not considered joint, privacy programs have the sole authority to select and oversee the controls and enhancements. In addition to Appendix F, the security and privacy tables in Appendix E indicate which privacy controls are considered joint controls. However, organizations have the flexibility to identify other controls as privacy or joint controls, as appropriate.

Throughout the control catalog, there may be references to privacy controls or considerations in various security controls because in some contexts, these security controls could provide privacy protections or could create privacy risks depending on the implementation. Although security programs may be responsible for these controls, organizations may have privacy programs and security progams collaborate on how to manage the nexus with privacy. To maintain awareness and support collaboration between privacy and security programs, organizations may use the keywords in Appendix H to locate privacy references in security controls that are not designated as joint controls.

2.5     CONTROL BASELINES

A significant challenge for organizations is selecting a set of security and privacy controls which, if correctly implemented and determined to be effective, adequately responds to mission and business risk while complying with security and privacy requirements defined by applicable laws, Executive Orders, regulations, policies, and directives. There is no single set of controls that addresses all security and privacy concerns in every situation. However, choosing the most appropriate controls for a specific situation or system to adequately respond to risk requires a fundamental understanding of the organization’s missions and business priorities; the mission and business functions the systems will support; and the environments where the systems will operate. It also requires close collaboration with key organizational stakeholders. With that understanding, organizations can demonstrate how to effectively and cost-effectively assure the confidentiality, integrity, and availability of organizational information and systems as well as the privacy of individuals in the context of supporting the organization’s mission and business functions.

To assist organizations in selecting the set of controls for their systems that is commensurate with risk, the concept of a control baseline is introduced. A control baseline is a collection of controls from Chapter Three specifically assembled or brought together to address the protection needs of a group, organization, or community of interest.30 The control baseline provides a generalized set of controls that represents an initial starting point for the subsequent tailoring activities that can be applied to the baseline to produce a more targeted or customized security and privacy solution for the entity it is intended to serve. The selection of controls for control baselines can be based on a variety of factors including, for example, sector-specific requirements, threat information, organizational assumptions and constraints, mission or business requirements, types of systems, operating environments, specific technologies, or laws, Executive Orders, regulations, policies, directives, standards, or industry best practices. The control baselines are tailored or customized for each organization, sector, or individual company based on specific operating conditions and other factors. Tailoring activities are described in greater detail in Appendix G.

30 The U.S. Government, in accordance with the requirements set forth in FISMA, OMB Circular A-130, and Federal Information Processing Standards, has established federally-mandated security control baselines. The baselines for non- national security systems are listed in Appendix D. These control baselines can be used to address the confidentiality, integrity and availability of personally identifiable information. Criteria that support federal agency selection of privacy controls are listed in Appendix F.

2.6     ASSURANCE AND TRUSTWORTHINESS

The trustworthiness of systems, system components, and system services is an important part of the risk management strategies developed by organizations. Whether systems are deployed to support the national air traffic control system, a major financial institution, a nuclear power plant, or the military services and warfighters, the systems must be reliable, trustworthy, and resilient in the face of increasingly sophisticated and pervasive threats—and also support the privacy of individuals. To understand how to achieve trustworthy systems and the role assurance plays, it is important to first define the term trustworthiness. Trustworthiness, in this context, means simply worthy of being trusted to fulfill whatever critical requirements may be needed for a particular component, subsystem, system, network, application, mission, business function, enterprise, or other entity.31 Trustworthiness requirements can include, for example, attributes of reliability, dependability, performance, resilience, safety, security, privacy, and survivability under a range of potential adversity in the form of disruptions, hazards, threats, and privacy risks. Effective measures of trustworthiness are meaningful only to the extent the requirements are sufficiently complete and well-defined, and can be accurately assessed.32

Two fundamental components affecting the trustworthiness of systems are functionality and assurance. Functionality is defined in terms of the security and privacy features, functions, mechanisms, services, procedures, and architectures implemented within organizational systems and programs and the environments in which those systems and programs operate. Assurance is the measure of confidence that the system functionality is implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security and privacy requirements for the system—thus possessing the capability to accurately mediate and enforce established security and privacy policies. Security and privacy controls address both functionality and assurance. Some controls focus primarily on functionality. Other controls focus primarily on assurance. Finally, certain controls can support functionality and assurance. Assurance-related controls are identified in the security and privacy control summary tables in Appendix E.

31 P. Neumann, Principled Assuredly Trustworthy Composable Architectures, CDRL A001 Final Report, SRI International, Menlo Park, CA, December 28, 2004.

32 NIST Special Publication 800-160 provides guidance on systems security engineering and the application of security design principles to achieve trustworthy systems.

CHAPTER THREE: THE CONTROLS

SECURITY AND PRIVACY CONTROLS, ENHANCEMENTS, AND SUPPLEMENTAL GUIDANCE

This catalog of security and privacy controls provides a range of protection measures for systems, organizations, and individuals. A catalog of security and privacy controls is also available online in different formats. The controls have been designed to facilitate compliance with applicable laws, Executive Orders, directives, policies, regulations, and standards. The security and privacy controls in the catalog with few exceptions, have been designed to be policy, technology, and sector neutral. This means that the controls focus on the fundamental measures necessary to protect information and the privacy of individuals during processing, while in storage, and during transmission. It should also be noted that while the security and privacy controls are largely policy, technology, and sector neutral, that does not imply that the controls are policy, technology, and sector unaware. Understanding policies, technologies, and sectors is necessary so that the controls are meaningful and relevant when implemented. Employing a policy, technology, and sector neutral control catalog has the following benefits:

• It encourages organizations to focus on the security and privacy functions and capabilities required for mission and business success and the protection of information and the privacy of individuals, irrespective of the technologies that are employed in their systems;
• It encourages organizations to analyze each security and privacy control for its applicability to specific technologies, environments of operation, missions and business functions, and communities of interest; and
• It encourages organizations to specify security and privacy policies as part of the tailoring process for controls that have variable parameters.

In the few cases where specific technologies are referenced in controls, organizations are cautioned that the need to provide adequate security and privacy may well go beyond the requirements in a single control associated with a technology. Many of the needed protection measures are obtained from the other controls in the catalog allocated to the initial control baselines and the privacy selection criteria as the starting point for the development of security and privacy plans using the tailoring process. NIST Federal Information Processing Standards, Special Publications, and Interagency Reports provide guidance on security and privacy controls for specific technologies and sector-specific applications including, for example, smart grid, healthcare, cloud, mobile, industrial and process control systems, and Internet of Things (IoT) devices.

Security and privacy controls in the catalog are expected to change over time, as controls are withdrawn, revised, and added. To maintain stability in security and privacy plans, security and privacy controls will not be renumbered each time a control is withdrawn. Rather, notations of controls that have been withdrawn are maintained in the catalog for historical purposes. Controls may be withdrawn for a variety of reasons including, for example, the function or capability provided by the control has been incorporated into another control or is redundant to an existing control; or the control is deemed to be no longer necessary or effective.

New security and privacy controls will be developed on a regular basis using information from national-level threat and vulnerability databases; information on the latest tactics, techniques, procedures, and tools used by adversaries; and an improved understanding of how to mitigate the risks to the privacy of individuals arising from information processing. Proposed modifications to the security and privacy controls and control baselines will be carefully considered during each revision cycle, considering the need for stability of the control catalog and the need to respond to changing threats, vulnerabilities, technologies, attack methods, and processing methods. The objective is to raise the level of information security and privacy over time.

COMPLIANCE AND DUE DILIGENCE

Compliance necessitates organizations exercising due diligence regarding information security, privacy, and risk management. Security and privacy due diligence requires organizations to establish a risk management program that uses the inherent flexibility in NIST publications to select and implement security and privacy controls that meet their mission and business needs. Using risk management frameworks and processes is essential in developing, implementing, and maintaining the protection measures that are necessary to address stakeholder needs and the current threats to organizational operations and assets, individuals, other organizations, and the Nation. Employing effective risk-based processes, procedures, methods, and technologies helps to ensure that information systems and organizations have the necessary trustworthiness and resiliency to support essential missions and business functions, the U.S. critical infrastructure, and continuity of government.

AC-1 ACCESS CONTROL POLICY AND PROCEDURES
Control:
a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
1. An access control policy that:
(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
(b) Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
2. Procedures to facilitate the implementation of the access control policy and the associated access controls;
b. Designate an [Assignment: organization-defined senior management official] to manage the access control policy and procedures;
c. Review and update the current access control:
1. Policy [Assignment: organization-defined frequency]; and
2. Procedures [Assignment: organization-defined frequency];
d. Ensure that the access control procedures implement the access control policy and controls; and
e. Develop, document, and implement remediation actions for violations of the access control policy.
Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the AC family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.
The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.
Related Controls: IA-1, PM-9, PM-25, PS-8, SI-12.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-30, 800-39, 800-100; NIST Interagency
Report 7874.

AC-2 ACCOUNT MANAGEMENT
Control:
a. Define and document the types of system accounts allowed for use within the system in support of organizational missions and business functions;

1. Assign account managers for system accounts;
2. Establish conditions for group and role membership;
3. Specify authorized users of the system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;
4. Require approvals by [Assignment: organization-defined personnel or roles] for requests to create system accounts;
5. Create, enable, modify, disable, and remove system accounts in accordance with [Assignment: organization-defined policy, procedures, and conditions];
6. Monitor the use of system accounts;
7. Notify account managers within [Assignment: organization-defined time-period for each situation]:
   1. When accounts are no longer required;
   2. When users are terminated or transferred; and
   3. When individual system usage or need-to-know changes for an individual;
8. Authorize access to the system based on:
   1. A valid access authorization;
   2. Intended system usage; and
   3. Other attributes as required by the organization or associated missions and business functions;
9. Review accounts for compliance with account management requirements [Assignment: organization-defined frequency];
10. Establish a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group; and
11. Align account management processes with personnel termination and transfer

Supplemental Guidance: System account types include, for example, individual, shared, group, system, guest, anonymous, emergency, developer/manufacturer/vendor, temporary, and service. The identification of authorized users of the system and the specification of access privileges reflects the requirements in other controls in the security plan. Users requiring administrative privileges on system accounts receive additional scrutiny by appropriate organizational personnel responsible for approving such accounts and privileged access, including, for example, system owner, mission/business owner, or chief information security officer. 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 and mission/business requirements. Failure to consider these factors could affect system availability.

Temporary and emergency accounts are 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 including, for example, local logon accounts used for special tasks 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,

when shared/group, emergency, or temporary accounts are no longer required; or when individuals are transferred or terminated. Some types of system accounts may require specialized training.

Related Controls: AC-3, AC-5, AC-6, AC-17, AC-18, AC-20, AC-24, AU-9, CM-5, IA-2, IA-8,

MA-3, MA-5, PE-2, PL-4, PS-2, PS-4, PS-5, PS-7, SC-7, SC-13, SC-37.

Control Enhancements:

• ACCOUNT MANAGEMENT | AUTOMATED SYSTEM ACCOUNT MANAGEMENT

Employ automated mechanisms to support the management of system accounts.

Supplemental Guidance: The 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 system to monitor account usage; and using telephonic notification to report atypical system account usage.

Related Controls: None.

• ACCOUNT MANAGEMENT | REMOVAL OF TEMPORARY AND EMERGENCY ACCOUNTS

Automatically [Selection: remove; disable] temporary and emergency accounts after [Assignment: organization-defined time-period for each type of account].

Supplemental Guidance: This control enhancement requires the removal or disabling of both temporary and emergency accounts automatically after a predefined time-period has elapsed, rather than at the convenience of the systems administrator. Automatic removal or disabling of accounts provides a more consistent implementation.

Related Controls: None.

• ACCOUNT MANAGEMENT | DISABLE ACCOUNTS

Automatically disable accounts when the accounts:

• Have expired;
• Are no longer associated to a user;
• Are in violation of organizational policy;
• Are no longer used by applications, services, or the system; and
• Have been inactive for [Assignment: organization-defined time-period].

Supplemental Guidance: None.

Related Controls: None.

• ACCOUNT MANAGEMENT | AUTOMATED AUDIT ACTIONS

Automatically audit account creation, modification, enabling, disabling, and removal actions, and notify [Assignment: organization-defined personnel or roles].

Supplemental Guidance: None.

Related Controls: AU-2, AU-12.

• ACCOUNT MANAGEMENT | INACTIVITY LOGOUT

Require that users log out when [Assignment: organization-defined time-period of expected inactivity or description of when to log out].

Supplemental Guidance: This control enhancement is behavior/policy-based and requires users to take physical action to log out when they are expecting inactivity longer than the defined period.

Related Controls: AC-11.

• ACCOUNT MANAGEMENT | DYNAMIC PRIVILEGE MANAGEMENT

Implement the following dynamic privilege management capabilities: [Assignment: organization- defined list of dynamic privilege management capabilities].

Supplemental Guidance: In contrast to conventional access control approaches which employ static system accounts and predefined user privileges, dynamic access control approaches rely on run time access control decisions facilitated by dynamic privilege management such as attribute based access control (ABAC). While user identities remain relatively constant over time, user privileges typically change more frequently based on ongoing mission or business requirements and operational needs of organizations. Dynamic privilege management can include, for example, 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 include those mechanisms that change user privileges based on dynamic rules as opposed to editing specific user profiles. Examples include automatic adjustments of user privileges if they are operating out of their normal work times, their job function or assignment changes, or if systems are under duress or in emergency situations. This control enhancement also includes the effects of privilege changes, for example, the changes to encryption keys used for communications.

Related Controls: AC-16.

• ACCOUNT MANAGEMENT | ROLE-BASED SCHEMES
  • Establish and administer privileged user accounts in accordance with a role-based access scheme that organizes allowed system access and privileges into roles;
  • Monitor privileged role assignments; and
  • Revoke access when privileged role assignments are no longer

Supplemental Guidance: Privileged 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.

Related Controls: None.

• ACCOUNT MANAGEMENT | DYNAMIC ACCOUNT MANAGEMENT

Create, activate, manage, and deactivate [Assignment: organization-defined system accounts] dynamically.

Supplemental Guidance: Approaches for dynamically creating, activating, managing, and deactivating system or service/application accounts rely on automatically provisioning the accounts at run time for entities that were previously unknown. Organizations plan for the dynamic creation, activation, management, and deactivation of these accounts by establishing trust relationships, business rules, and mechanisms with appropriate authorities to validate related authorizations and privileges.

Related Controls: AC-16.

• ACCOUNT MANAGEMENT | RESTRICTIONS ON USE OF SHARED AND GROUP ACCOUNTS

Only permit the use of shared and group accounts that meet [Assignment: organization-defined conditions for establishing shared and group accounts].

Supplemental Guidance: Before permitting the use of shared or group accounts, organizations consider the increased risk due to the lack of accountability with such accounts.

Related Controls: None.

• ACCOUNT MANAGEMENT | SHARED AND GROUP ACCOUNT CREDENTIAL CHANGE

Change shared and group account credentials when members leave the group.

Supplemental Guidance: This control enhancement is intended to ensure that former group members do not retain access to the shared/group account.

Related Controls: None.

• ACCOUNT MANAGEMENT | USAGE CONDITIONS

Enforce [Assignment: organization-defined circumstances and/or usage conditions] for [Assignment: organization-defined system accounts].

Supplemental Guidance: This control enhancement helps to enforce the principle of least privilege, increase user accountability, and enable more effective account monitoring. Such monitoring includes, for example, alerts generated if the account is used outside of specified parameters. Organizations can describe the specific conditions or circumstances under which system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.

Related Controls: None.

• ACCOUNT MANAGEMENT | ACCOUNT MONITORING FOR ATYPICAL USAGE
  • Monitor system accounts for [Assignment: organization-defined atypical usage]; and
  • Report atypical usage of system accounts to [Assignment: organization-defined personnel or roles].

Supplemental Guidance: Atypical usage includes, for example, accessing systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations. Account monitoring may inadvertently create privacy risks. Data collected to identify atypical usage may reveal previously unknown information about the behavior of individuals. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan.

Related Controls: AU-6, AU-7, CA-7, IR-8, SI-4.

• ACCOUNT MANAGEMENT | DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS

Disable accounts of users posing a significant risk within [Assignment: organization-defined time- period] of discovery of the risk.

Supplemental Guidance: Users posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to systems to cause harm or through whom adversaries will cause harm. Such harm includes the potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination and cooperation among authorizing officials, system administrators, and human resource managers is essential for timely execution of this control enhancement.

Related Controls: AU-6, SI-4.

• ACCOUNT MANAGEMENT | PROHIBIT SPECIFIC ACCOUNT TYPES

Prohibit the creation and use of [Selection (one or more): shared; guest; anonymous; temporary; emergency] accounts for access to [Assignment: organization-defined information types].

Supplemental Guidance: NIST Special Publications 800-162, 800-178.

Related Controls: PS-4.

• ACCOUNT MANAGEMENT | ATTRIBUTE-BASED SCHEMES
  • Establish and administer privileged user accounts in accordance with an attribute-based access scheme that specifies allowed system access and privileges based on attributes;
  • Monitor privileged attribute-based assignments;
  • Monitor changes to attributes; and
  • Revoke access when privileged attribute-based assignments are no longer

Supplemental Guidance: Privileged 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.

Related Controls: None.

References: NIST Special Publications 800-162, 800-178.

AC-3      ACCESS ENFORCEMENT

Control: Enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies.

Supplemental Guidance: Access control policies control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. In addition to enforcing authorized access at the system level and recognizing that 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.

Related Controls: AC-2, AC-4, AC-5, AC-6, AC-16, AC-17, AC-18, AC-19, AC-20, AC-21, AC- 22, AC-24, AC-25, AU-9, CA-9, CM-5, CM-11, IA-2, IA-5, IA-6, IA-7, IA-11, MA-3, MA-4,

MA-5 MP-4, PM-25, PS-3, SC-2, SC-3, SC-4, SC-13, SC-28, SC-31, SC-34, SI-4.

Control Enhancements:

• ACCESS ENFORCEMENT | RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS

[Withdrawn: Incorporated into AC-6].

• ACCESS ENFORCEMENT | DUAL AUTHORIZATION

Enforce dual authorization for [Assignment: organization-defined privileged commands and/or other organization-defined actions].

Supplemental Guidance: Dual authorization may also be known as two-person control. Dual authorization mechanisms require the approval of two authorized individuals to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety.

Related Controls: CP-9, MP-6.

• ACCESS ENFORCEMENT | MANDATORY ACCESS CONTROL

Enforce [Assignment: organization-defined mandatory access control policy] over all subjects and objects where the policy:

• Is uniformly enforced across all subjects and objects within the boundary of the system;
• Specifies that a subject that has been granted access to information is constrained from doing any of the following;
  • Passing the information to unauthorized subjects or objects;
  • Granting its privileges to other subjects;
  • Changing one or more security attributes on subjects, objects, the system, or system components;
  • Choosing the security attributes and attribute values to be associated with newly created or modified objects; or
  • Changing the rules governing access control; and
• Specifies that [Assignment: organization-defined subjects] may explicitly be granted [Assignment: organization-defined privileges] such that they are not limited by any of the above

Supplemental Guidance: Mandatory access control is a type of nondiscretionary access control. 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. This prevents 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 system has control. Otherwise, the access control policy can be circumvented. This enforcement is provided by an implementation that meets the reference monitor concept as described in AC-25. The policy is bounded by the 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 a policy mandate that establishes a policy regarding access to controlled unclassified information or classified information and some users of the system are not authorized access to all such information resident in the system. This control can operate in conjunction with AC-3(4). A subject 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.

Related Controls: SC-7.

• ACCESS ENFORCEMENT | DISCRETIONARY ACCESS CONTROL

Enforce [Assignment: organization-defined discretionary access control policy] 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:

• Pass the information to any other subjects or objects;
• Grant its privileges to other subjects;
• Change security attributes on subjects, objects, the system, or the system’s components;
• Choose the security attributes to be associated with newly created or revised objects; or
• Change the rules governing access

Supplemental Guidance: When discretionary access control policies are implemented, subjects are not constrained regarding 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. Therefore, 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 system boundary.

Once the information is passed outside of the control of the system, additional means may be required to help 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.

Related Controls: None.

• ACCESS ENFORCEMENT | SECURITY-RELEVANT INFORMATION

Prevent access to [Assignment: organization-defined security-relevant information] except during secure, non-operable system states.

Supplemental Guidance: Security-relevant information is any information within 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 systems are not performing mission/business-related processing, for example, the system is off-line for maintenance, troubleshooting, boot-up, or shut down.

Related Controls: CM-6, SC-39.

• ACCESS ENFORCEMENT | PROTECTION OF USER AND SYSTEM INFORMATION

[Withdrawn: Incorporated into MP-4 and SC-28].

• ACCESS ENFORCEMENT | ROLE-BASED ACCESS CONTROL

Enforce a role-based access control policy over defined subjects and objects and control access based upon [Assignment: organization-defined roles and users authorized to assume such roles].

Supplemental Guidance: Role-based access control (RBAC) is an access control policy that restricts 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 the 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.

Related Controls: PE-2.

• ACCESS ENFORCEMENT | REVOCATION OF ACCESS AUTHORIZATIONS

Enforce the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on [Assignment: organization-defined rules governing the timing of revocations of access authorizations].

Supplemental Guidance: Revocation 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 is opened or the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations provide alternative approaches on how to make revocations immediate if systems cannot provide such capability and immediate revocation is necessary.

Related Controls: None.

• ACCESS ENFORCEMENT | CONTROLLED RELEASE

Release information outside of the established system boundary only if:

• The receiving [Assignment: organization-defined system or system component] provides [Assignment: organization-defined security safeguards]; and
• [Assignment: organization-defined security safeguards] are used to validate the appropriateness of the information designated for

Supplemental Guidance: Systems can only protect organizational information within the confines of established system boundaries. Additional security controls may be needed to ensure that such information is adequately protected once it is passed beyond the established system boundaries. In situations where the system is unable to determine the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external systems are providing adequate security. The means used to determine the adequacy of security provided by external systems include, for example, conducting inspections or periodic testing and assessments; 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 systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the 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 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 that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular system or organization.

Related Controls: SC-16.

• ACCESS ENFORCEMENT | AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS

Employ an audited override of automated access control mechanisms under [Assignment: organization-defined conditions] by [Assignment: organization-defined roles].

Supplemental Guidance: In certain situations, for example, where there is a threat to human life or an event that threatens the organization’s ability carry out critical missions or business functions, an override capability for access control mechanisms may be needed. Such override conditions are defined by organizations and are used only in those limited circumstances.

Related Controls: AU-2, AU-6, AU-10, AU-12, AU-14.

 

• ACCESS ENFORCEMENT | RESTRICT ACCESS TO SPECIFIC INFORMATION

Restrict direct access to data repositories containing [Assignment: organization-defined information types].

Supplemental Guidance: This control enhancement is intended to provide flexibility regarding access control of specific pieces of information within a system. For example, role-based access could be employed to allow access to only a specific type of personally identifiable information within a database rather than allowing access to the database in its entirety.

Related Controls: None.

• ACCESS ENFORCEMENT | ASSERT AND ENFORCE APPLICATION ACCESS
  • Require applications to assert, as part of the installation process, the access needed to the following system applications and functions: [Assignment: organization-defined system applications and functions]; and
  • Provide an enforcement mechanism to prevent other-than-asserted

Supplemental Guidance: This control enhancement is intended to address applications that need to access existing system applications and functions including, for example, user contacts; global positioning system; camera; keyboard; microphone; network; or phones or other files.

Related Controls: CM-7.

• ACCESS ENFORCEMENT | ATTRIBUTE-BASED ACCESS CONTROL

Enforce attribute-based access control policy over defined subjects and objects and control access based upon [Assignment: organization-defined attributes to assume access permissions].

Supplemental Guidance: Attribute-based access control (ABAC) is an access control policy that restricts system access to authorized users based on their organizational attributes, such as job function; environmental attributes, such as time of day; and resource attributes, such as the classification of a document. Organizations can create specific rules based on attributes and the authorizations (i.e., privileges) to perform needed operations on the systems associated with the organization-defined attributes and rules. When users are assigned to attributes defined in ABAC policies or rules, they can be provisioned to a system with appropriate privileges or dynamically granted access to a protected resource upon access. ABAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing ABAC with mandatory access controls, the requirements in AC-3(3) define the scope of the subjects and objects covered by the policy.

Related Controls: PE-2.

References: NIST Special Publications 800-57-1, 800-57-2, 800-57-3, 800-162; NIST Interagency

Report 7874.

 

AC-4      INFORMATION FLOW ENFORCEMENT

Control: Enforce approved authorizations for controlling the flow of information within the system and between interconnected systems based on [Assignment: organization-defined information flow control policies].

Supplemental Guidance: Information flow control regulates where information can travel within a system and between 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 systems in different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners or 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, prohibiting information transfers between interconnected systems (i.e., allowing access only); employing hardware

 

mechanisms to enforce one-way information flows; and 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 within 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 that employ rule sets or establish configuration settings that restrict system services, provide a packet- filtering capability based on header information, or message-filtering capability based on message content. 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.

Related Controls: AC-3, AC-6, AC-16, AC-17, AC-19, AC-21, AU-10, CA-9, CM-7, PM-25, SC-4, SC-7, SC-16, SC-31.

Control Enhancements:

• INFORMATION FLOW ENFORCEMENT | OBJECT SECURITY ATTRIBUTES

Use [Assignment: organization-defined security attributes] associated with [Assignment: organization-defined information, source, and destination objects] to enforce [Assignment: organization-defined information flow control policies] as a basis for flow control decisions.

Supplemental Guidance: Information flow enforcement mechanisms compare security attributes associated with information (data content and data structure) and source/destination objects, and respond appropriately 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.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | PROCESSING DOMAINS

Use protected processing domains to enforce [Assignment: organization-defined information flow control policies] as a basis for flow control decisions.

Supplemental Guidance: Within systems, protected processing domains are processing spaces that have controlled interactions with other processing spaces, 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, 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.

Related Controls: SC-39.

• INFORMATION FLOW ENFORCEMENT | DYNAMIC INFORMATION FLOW CONTROL

Enforce dynamic information flow control based on [Assignment: organization-defined policies].

Supplemental Guidance: Organizational 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.

Related Controls: SI-4.

 

• INFORMATION FLOW ENFORCEMENT | FLOW CONTROL OF ENCRYPTED INFORMATION

Prevent encrypted information from bypassing [Assignment: organization-defined flow control mechanisms] by [Selection (one or more): decrypting the information; blocking the flow of the encrypted information; terminating communications sessions attempting to pass encrypted information; [Assignment: organization-defined procedure or method]].

Supplemental Guidance: Content checking, security policy filters, and data type identifiers are examples of flow control mechanisms.

Related Controls: SI-4.

• INFORMATION FLOW ENFORCEMENT | EMBEDDED DATA TYPES

Enforce [Assignment: organization-defined limitations] on embedding data types within other data types.

Supplemental Guidance: Embedding 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.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | METADATA

Enforce information flow control based on [Assignment: organization-defined metadata].

Supplemental Guidance: Metadata is information used to describe the characteristics of data. Metadata can include structural metadata describing data structures or descriptive metadata describing data contents. Enforcing allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata regarding 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).

Related Controls: AC-16, SI-7.

• INFORMATION FLOW ENFORCEMENT | ONE-WAY FLOW MECHANISMS

Enforce [Assignment: organization-defined one-way information flows] using hardware mechanisms.

Supplemental Guidance: None.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | SECURITY POLICY FILTERS

Enforce information flow control using [Assignment: organization-defined security policy filters] as a basis for flow control decisions for [Assignment: organization-defined information flows].

Supplemental Guidance: Organization-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 enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data refers to digital information without a data structure or with a data structure that does not facilitate the development of rule sets to address the sensitivity of the information conveyed by the data or the flow enforcement decisions. Unstructured data consists of bitmap objects that are inherently non-language-based (i.e., image, video, or audio files); and textual objects that are based on written or printed languages. Organizations can implement more than one security policy filter to meet information flow control objectives.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | HUMAN REVIEWS

Enforce the use of human reviews for [Assignment: organization-defined information flows] under the following conditions: [Assignment: organization-defined conditions].

 

Supplemental Guidance: Organizations 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.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | ENABLE AND DISABLE SECURITY POLICY FILTERS

Provide the capability for privileged administrators to enable and disable [Assignment: organization-defined security policy filters] under the following conditions: [Assignment: organization-defined conditions].

Supplemental Guidance: For example, as allowed by the system authorization, administrators can enable security policy filters to accommodate approved data types.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | CONFIGURATION OF SECURITY POLICY FILTERS

Provide the capability for privileged administrators to configure [Assignment: organization-defined security policy filters] to support different security policies.

Supplemental Guidance: For 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.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | DATA TYPE IDENTIFIERS

When transferring information between different security domains, use [Assignment: organization- defined data type identifiers] to validate data essential for information flow decisions.

Supplemental Guidance: Data type identifiers include, for example, filenames, file types, file signatures/tokens, and multiple internal file signatures/tokens. Systems may allow transfer of data only if compliant with data type format specifications.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | DECOMPOSITION INTO POLICY-RELEVANT SUBCOMPONENTS

When transferring information between different security domains, decompose information into [Assignment: organization-defined policy-relevant subcomponents] for submission to policy enforcement mechanisms.

Supplemental Guidance: Policy 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.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | SECURITY POLICY FILTER CONSTRAINTS

When transferring information between different security domains, implement [Assignment: organization-defined security policy filters] requiring fully enumerated formats that restrict data structure and content.

Supplemental Guidance: Data structure and content restrictions reduce the range of potential malicious 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, encoding formats for character sets; restricting character data fields to only contain alpha-numeric characters; prohibiting special characters; and validating schema structures.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | DETECTION OF UNSANCTIONED INFORMATION

When transferring information between different security domains, examine the information for the presence of [Assignment: organized-defined unsanctioned information] and prohibit the transfer of such information in accordance with the [Assignment: organization-defined security policy].

 

Supplemental Guidance: Detection of unsanctioned information includes, for example, checking all information to be transferred for malicious code and dirty words.

Related Controls: SI-3.

• INFORMATION FLOW ENFORCEMENT | INFORMATION TRANSFERS ON INTERCONNECTED SYSTEMS

[Withdrawn: Incorporated into AC-4].

• INFORMATION FLOW ENFORCEMENT | DOMAIN AUTHENTICATION

Uniquely identify and authenticate source and destination points by [Selection (one or more): organization, system, application, service, individual] for information transfer.

Supplemental Guidance: Attribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in 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 system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information.

Related Controls: IA-2, IA-3, IA-9.

• INFORMATION FLOW ENFORCEMENT | SECURITY ATTRIBUTE BINDING

[Withdrawn: Incorporated into AC-16].

• INFORMATION FLOW ENFORCEMENT | VALIDATION OF METADATA

When transferring information between different security domains, apply the same security policy filtering to metadata as it applies to data payloads.

Supplemental Guidance: This 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.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | APPROVED SOLUTIONS

Employ [Assignment: organization-defined solutions in approved configurations] to control the flow of [Assignment: organization-defined information] across security domains.

Supplemental Guidance: Organizations 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 provides a baseline listing of approved cross-domain solutions.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | PHYSICAL AND LOGICAL SEPARATION OF INFORMATION FLOWS

Separate information flows logically or physically using [Assignment: organization-defined mechanisms and/or techniques] to accomplish [Assignment: organization-defined required separations by types of information].

Supplemental Guidance: Enforcing 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.

Related Controls: SC-32.

• INFORMATION FLOW ENFORCEMENT | ACCESS ONLY

Provide 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.

 

Supplemental Guidance: The 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.

Related Controls: None.

References: NIST Special Publications 800-162, 800-178.

 

AC-5      SEPARATION OF DUTIES

Control:

1. Separate [Assignment: organization-defined duties of individuals];
2. Document separation of duties of individuals; and
3. Define system access authorizations to support separation of

Supplemental Guidance: Separation 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, dividing mission functions and system support functions among different individuals and/or roles; conducting system support functions with different individuals; and ensuring security personnel administering access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of organizational systems and system components when developing policy on separation of duties.

Related Controls: AC-2, AC-3, AC-6, AU-9, CM-5, CM-11, CP-9, IA-2, IA-5, MA-3, MA-5, PS-2, SA-17.

Control Enhancements: None.

References: None.

 

AC-6      LEAST PRIVILEGE

Control: Employ 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.

Supplemental Guidance: Organizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions or business functions. Organizations consider the creation of additional processes, roles, and system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational systems.

Related Controls: AC-2, AC-3, AC-5, AC-16, CM-5, CM-11, PL-2, PM-12, SA-15, SA-17, SC-38.

Control Enhancements:

• LEAST PRIVILEGE | AUTHORIZE ACCESS TO SECURITY FUNCTIONS

Explicitly authorize access to [Assignment: organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information].

Supplemental Guidance: Security functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and establishing 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.

Related Controls: AC-17, AC-18, AC-19, AU-9, PE-2.

• LEAST PRIVILEGE | NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS

Require that users of system accounts, or roles, with access to [Assignment: organization-defined security functions or security-relevant information], use non-privileged accounts or roles, when accessing nonsecurity functions.

Supplemental Guidance: This 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.

Related Controls: AC-17, AC-18, AC-19, PL-4.

• LEAST PRIVILEGE | NETWORK ACCESS TO PRIVILEGED COMMANDS

Authorize network access to [Assignment: organization-defined privileged commands] only for [Assignment: organization-defined compelling operational needs] and document the rationale for such access in the security plan for the system.

Supplemental Guidance: Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).

Related Controls: AC-17, AC-18, AC-19.

• LEAST PRIVILEGE | SEPARATE PROCESSING DOMAINS

Provide separate processing domains to enable finer-grained allocation of user privileges.

Supplemental Guidance: Providing separate processing domains for finer-grained allocation of user privileges includes, for example, using virtualization techniques to allow additional user privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying actual machine; employing hardware/software domain separation mechanisms; and implementing separate physical domains.

Related Controls: AC-4, SC-2, SC-3, SC-30, SC-32, SC-39.

• LEAST PRIVILEGE | PRIVILEGED ACCOUNTS

Restrict privileged accounts on the system to [Assignment: organization-defined personnel or roles].

Supplemental Guidance: Privileged 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 they retain the ability to control system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.

Related Controls: IA-2, MA-3, MA-4.

• LEAST PRIVILEGE | PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS Prohibit privileged access to the system by non-organizational Supplemental Guidance: None.

Related Controls: AC-18, AC-19, IA-2, IA-8.

• LEAST PRIVILEGE | REVIEW OF USER PRIVILEGES
  • Review [Assignment: organization-defined frequency] the privileges assigned to [Assignment: organization-defined roles or classes of users] to validate the need for such privileges; and
  • Reassign or remove privileges, if necessary, to correctly reflect organizational mission and business

Supplemental Guidance: The need for certain assigned user privileges may change over time reflecting changes in organizational missions and business functions, 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.

Related Controls: CA-7.

 

• LEAST PRIVILEGE | PRIVILEGE LEVELS FOR CODE EXECUTION

Prevent the following software from executing at higher privilege levels than users executing the software: [Assignment: organization-defined software].

Supplemental Guidance: In 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.

Related Controls: None.

• LEAST PRIVILEGE | AUDITING USE OF PRIVILEGED FUNCTIONS

Audit the execution of privileged functions.

Supplemental Guidance: Misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised 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.

Related Controls: AU-2, AU-12.

• LEAST PRIVILEGE | PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS

Prevent non-privileged users from executing privileged functions.

Supplemental Guidance: Privileged functions include, for example, disabling, circumventing, or altering implemented security or privacy controls, establishing 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.

Related Controls: None.

References: None.

 

AC-7      UNSUCCESSFUL LOGON ATTEMPTS

Control:

1. Enforce a limit of [Assignment: organization-defined number] consecutive invalid logon attempts by a user during a [Assignment: organization-defined time-period]; and
2. Automatically [Selection (one or more): lock the account/node for an [Assignment: organization-defined time-period]; lock the account/node until released by an administrator; delay next logon prompt per [Assignment: organization-defined delay algorithm]; take [Assignment: organization-defined action]] when the maximum number of unsuccessful attempts is

Supplemental Guidance: This 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 systems are usually temporary and automatically release after a predetermined time established by organizations. If a delay algorithm is selected, organizations may employ different algorithms for different components of the system based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.

Related Controls: AC-2, AC-9, AU-2, AU-6, IA-5.

Control Enhancements:

• UNSUCCESSFUL LOGON ATTEMPTS | AUTOMATIC ACCOUNT LOCK

[Withdrawn: Incorporated into AC-7].

 

• UNSUCCESSFUL LOGON ATTEMPTS | PURGE OR WIPE MOBILE DEVICE

Purge or wipe information from [Assignment: organization-defined mobile devices] based on [Assignment: organization-defined purging or wiping requirements and techniques] after [Assignment: organization-defined number] consecutive, unsuccessful device logon attempts.

Supplemental Guidance: This control enhancement applies only to mobile devices for which a logon occurs. The logon is to the mobile device, not to any one account on the device.

Successful logons to accounts on mobile devices reset the unsuccessful logon count to zero. Purging or wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms.

Related Controls: AC-19, MP-5, MP-6.

• UNSUCCESSFUL LOGON ATTEMPTS | BIOMETRIC ATTEMPT LIMITING

Limit the number of unsuccessful biometric logon attempts to [Assignment: organization-defined number].

Supplemental Guidance: Biometrics are probabilistic in nature. The ability to successfully authenticate can be impacted by many factors, including matching performance and presentation attack detection mechanisms. Organizations select the appropriate number of attempts and fall back mechanisms for users based on these, and other organizationally defined factors.

Related Controls: IA-3.

• UNSUCCESSFUL LOGON ATTEMPTS | USE OF ALTERNATE FACTOR

Allow the use of one or more additional authentication factors after the number of organization- defined consecutive invalid logon attempts have been exceeded.

Supplemental Guidance: This control enhancement supports the objective of availability and allows a user that has inadvertently been locked out to use additional authentication factors to bypass the lockout.

Related Controls: IA-3.

References: NIST Special Publications 800-63, 800-124.

 

AC-8      SYSTEM USE NOTIFICATION

Control:

1. Display [Assignment: organization-defined system use notification message or banner] to users before granting access to the system that provides privacy and security notices consistent with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines and state that:
   1. Users are accessing a U.S. Government system;
   2. System usage may be monitored, recorded, and subject to audit;
   3. Unauthorized use of the system is prohibited and subject to criminal and civil penalties; and
   4. Use of the system indicates consent to monitoring and recording;
2. Retain 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 system; and
3. For publicly accessible systems:
   1. Display system use information [Assignment: organization-defined conditions], before granting further access to the publicly accessible system;
   2. Display references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and
   3. Include a description of the authorized uses of the

 

Supplemental Guidance: System use notifications can be implemented using messages or warning banners displayed before individuals log in to systems. System use notifications are used only for access via logon interfaces with human users. Such notifications are not required when human interfaces do not exist. Based on an assessment of risk, organizations consider whether or not a secondary system use notification is needed to access applications or other system resources after the initial network logon. Organizations consider system use notification messages or banners displayed in multiple languages based on organizational needs and the demographics of system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.

Related Controls:  AC-14, PL-4, SI-4.

Control Enhancements: None.

References: None.

 

AC-9      PREVIOUS LOGON (ACCESS) NOTIFICATION

Control: Notify the user, upon successful logon (access) to the system, of the date and time of the last logon (access).

Supplemental Guidance: This control is applicable to logons to systems via human user interfaces and logons to systems that occur in other types of architectures.

Related Controls: AC-7, PL-4.

Control Enhancements:

• PREVIOUS LOGON NOTIFICATION | UNSUCCESSFUL LOGONS

Notify the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.

Supplemental Guidance: None.

Related Controls: None.

• PREVIOUS LOGON NOTIFICATION | SUCCESSFUL AND UNSUCCESSFUL LOGONS

Notify the user, upon successful logon/access, of the number of [Selection: successful logons/accesses; unsuccessful logon/access attempts; both] during [Assignment: organization- defined time-period].

Supplemental Guidance: None.

Related Controls: None.

• PREVIOUS LOGON NOTIFICATION | NOTIFICATION OF ACCOUNT CHANGES

Notify the user, upon successful logon/access, of changes to [Assignment: organization-defined security-related characteristics/parameters of the user’s account] during [Assignment: organization-defined time-period].

Supplemental Guidance: None.

Related Controls: None.

• PREVIOUS LOGON NOTIFICATION | ADDITIONAL LOGON INFORMATION

Notify the user, upon successful logon/access, of the following additional information: [Assignment: organization-defined information to be included in addition to the date and time of the last logon/access].

Supplemental Guidance: This 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 systems, for example, Internet Protocol (IP) addresses from which network logons occurred, notifications of local logons, or device identifiers.

Related Controls: None.

References: None.

 

AC-10 CONCURRENT SESSION CONTROL

Control: Limit the number of concurrent sessions for each [Assignment: organization-defined account and/or account type] to [Assignment: organization-defined number].

Supplemental Guidance: Organizations may define the maximum number of concurrent sessions for system accounts globally, by account type, by account, or a combination thereof. For example, organizations may limit the number of concurrent sessions for system administrators or other individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for system accounts and does not address concurrent sessions by single users via multiple system accounts.

Related Controls: SC-23. Control Enhancements: None. References: None.

AC-11 DEVICE LOCK

Control:

1. Prevent further access to the system by initiating a device lock after [Assignment: organization-defined time-period] of inactivity or upon receiving a request from a user; and
2. Retain the device lock until the user reestablishes access using established identification and authentication

Supplemental Guidance: Device locks are temporary actions taken to prevent logical access to organizational systems when users stop work and move away from the immediate vicinity of those systems but do not want to log out because of the temporary nature of their absences. Device 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. Device locks are not an acceptable substitute for logging out of systems, for example, if organizations require users to log out at the end of workdays.

Related Controls: AC-2, AC-7, IA-11.

Control Enhancements:

• DEVICE LOCK | PATTERN-HIDING DISPLAYS

Conceal, via the device lock, information previously visible on the display with a publicly viewable image.

Supplemental Guidance: The pattern-hiding display 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 caveat that controlled unclassified information is not displayed.

Related Controls: None.

• DEVICE LOCK | REQUIRE USER-INITIATED LOCK

Require the user to initiate a device lock before leaving the system unattended.

Supplemental Guidance: This control enhancement is behavior/policy-based and as such, requires users to take physical action to initiate the device lock.

Related Controls: PL-4.

References: None.

 

AC-12 SESSION TERMINATION

Control: Automatically terminate a user session after [Assignment: organization-defined conditions or trigger events requiring session disconnect].

 

Supplemental Guidance: This 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 system. Such user sessions can be terminated 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 system use.

Related Controls: MA-4, SC-10, SC-23.

Control Enhancements:

• SESSION TERMINATION | USER-INITIATED LOGOUTS

Provide a logout capability for user-initiated communications sessions whenever authentication is used to gain access to [Assignment: organization-defined information resources].

Supplemental Guidance: Information resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web- based services.

Related Controls: None.

• SESSION TERMINATION | TERMINATION MESSAGE

Display an explicit logout message to users indicating the reliable termination of authenticated communications sessions.

Supplemental Guidance: 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, systems typically send logout messages as final messages prior to terminating sessions.

Related Controls: None.

• SESSION TERMINATION | TIMEOUT WARNING MESSAGE

Display an explicit message to users indicating that the session is about to end.

Supplemental Guidance: To increase usability, notify users of pending session termination and prompt for activity if users desire to continue the session.

Related Controls: None.

References: None.

 

AC-13 SUPERVISION AND REVIEW — ACCESS CONTROL

[Withdrawn: Incorporated into AC-2 and AU-6].

 

AC-14 PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION

Control:

1. Identify [Assignment: organization-defined user actions] that can be performed on the system without identification or authentication consistent with organizational missions and business functions; and
2. Document and provide supporting rationale in the security plan for the system, user actions not requiring identification or

Supplemental Guidance: This control addresses situations in which organizations determine that no identification or authentication is required in organizational 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 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, 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 systems without identification and authentication and therefore, the values for assignment statements can be none.

Related Controls: AC-8, IA-2, PL-2.

Control Enhancements: None.

(1) PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION | NECESSARY USES

[Withdrawn: Incorporated into AC-14].

References: None.

 

AC-15 AUTOMATED MARKING

[Withdrawn: Incorporated into MP-3].

 

AC-16 SECURITY AND PRIVACY ATTRIBUTES

Control:

1. Provide the means to associate [Assignment: organization-defined types of security and privacy attributes] having [Assignment: organization-defined security and privacy attribute values] with information in storage, in process, and/or in transmission;
2. Ensure that the security and privacy attribute associations are made and retained with the information;
3. Establish the permitted [Assignment: organization-defined security attributes] for [Assignment: organization-defined systems]; and
4. Determine the permitted [Assignment: organization-defined values or ranges] for each of the established security and privacy

Supplemental Guidance: Information is represented internally within 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. Privacy attributes, which may be used independently, or in conjunction with security attributes, represent the basic properties or characteristics of an entity with respect to the management of personally identifiable information. Such attributes are used to enable the implementation of the need for the record in the performance of duties, the identification of personal information within data objects, and the identification of permitted uses of personal information. Attributes can be explicitly or implicitly associated with the information contained in organizational systems or system components.

Security and privacy 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 system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security and privacy attributes to subjects and objects is referred to as binding and is inclusive of setting the attribute value and the attribute type. Security and privacy attributes when bound to data or information, enable the enforcement of security policies for access control and information flow control and privacy policies including,

 

for example, for data retention limits and permitted uses of personally identifiable information. Such enforcement occurs through organizational processes or system functions or mechanisms. Binding techniques implemented by systems affect the strength of 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. The content or assigned values of the security and privacy attributes can directly affect the ability of individuals to access organizational information.

Organizations can define the types of attributes needed for selected systems to support missions or business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings can include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations ensure that the security and privacy attribute values are meaningful and relevant. Labeling refers to the association of security and privacy attributes with subjects and objects represented by the internal data structures within organizational systems. This facilitates system-based enforcement of information security and privacy policies. Labels include, for example, access authorizations, nationality, data life cycle protection (i.e., encryption and data expiration), data subject consents, permissible data uses, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. Conversely, marking refers to the association of security and privacy attributes with objects in a human-readable form. This enables manual, procedural, or process-based enforcement of information security and privacy policies. Examples of attribute types include classification level for objects and clearance (access authorization) level for subjects. An attribute value for both attribute types is Top Secret.

Related Controls: AC-3, AC-4, AC-6, AC-21, AC-25, AU-2, AU-10, IP-2, MP-3, PE-22, SC-11, SC-16, SI-12.

Control Enhancements:

• SECURITY AND PRIVACY ATTRIBUTES | DYNAMIC ATTRIBUTE ASSOCIATION

Dynamically associate security and privacy attributes with [Assignment: organization-defined subjects and objects] in accordance with [Assignment: organization-defined security and privacy policies] as information is created and combined.

Supplemental Guidance: Dynamic association of security and privacy attributes is appropriate whenever the security or privacy characteristics of information changes over time. Attributes may change, for example, due to information aggregation issues (i.e., the security and privacy characteristics of individual information elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), changes in the security category of information, and changes in security or privacy policies.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | ATTRIBUTE VALUE CHANGES BY AUTHORIZED INDIVIDUALS

Provide authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security and privacy attributes.

Supplemental Guidance: The content or assigned values of security and privacy attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | MAINTENANCE OF ATTRIBUTE ASSOCIATIONS BY SYSTEM

Maintain the association and integrity of [Assignment: organization-defined security and privacy attributes] to [Assignment: organization-defined subjects and objects].

Supplemental Guidance: Maintaining the association and integrity of security and privacy 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, retention date expirations, access control decisions, and information flow control decisions.

 

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | ASSOCIATION OF ATTRIBUTES BY AUTHORIZED INDIVIDUALS

Provide the capability to associate [Assignment: organization-defined security and privacy attributes] with [Assignment: organization-defined subjects and objects] by authorized individuals (or processes acting on behalf of individuals).

Supplemental Guidance: The support provided by systems can include, for example, prompting users to select specific security or privacy attributes to be associated with specific information objects; employing automated mechanisms to categorize information with appropriate security or privacy attributes based on defined policies; or ensuring that the combination of selected security or privacy attributes selected is valid. Organizations consider the creation, deletion, or modification of security and privacy attributes when defining auditable events.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES

Display security and privacy attributes in human-readable form on each object that the system transmits to output devices to identify [Assignment: organization-identified special dissemination, handling, or distribution instructions] using [Assignment: organization-identified human-readable, standard naming conventions].

Supplemental Guidance: System outputs include, for example, pages, screens, or equivalent. System output devices include, for example, printers, notebook computers, video displays on workstations, and personal digital assistants. To mitigate the risk of unauthorized exposure of selected information, for example, shoulder surfing, the outputs display full attribute values when unmasked by the subscriber.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | MAINTENANCE OF ATTRIBUTE ASSOCIATION BY ORGANIZATION

Require personnel to associate, and maintain the association of [Assignment: organization-defined security and privacy attributes] with [Assignment: organization-defined subjects and objects] in accordance with [Assignment: organization-defined security and privacy policies].

Supplemental Guidance: This control enhancement requires individual users (as opposed to the system) to maintain associations of security and privacy attributes with subjects and objects.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | CONSISTENT ATTRIBUTE INTERPRETATION

Provide a consistent interpretation of security and privacy attributes transmitted between distributed system components.

Supplemental Guidance: To enforce security and privacy policies across multiple components in distributed systems, organizations provide a consistent interpretation of the attributes used in access enforcement and flow enforcement decisions. Organizations establish agreements and processes to ensure that all distributed system components implement security and privacy attributes with consistent interpretations in automated access and flow enforcement actions.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | ASSOCIATION TECHNIQUES AND TECHNOLOGIES

Implement [Assignment: organization-defined techniques and technologies] with [Assignment: organization-defined level of assurance] in associating security and privacy attributes to information.

Supplemental Guidance: The association (i.e., binding) of security and privacy attributes to information within systems is important for conducting automated access enforcement and flow enforcement actions. The association of such attributes can be accomplished with technologies and techniques providing different levels of assurance. For example, systems can cryptographically bind attributes to information using digital signatures with the supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).

Related Controls: None.

 

• SECURITY AND PRIVACY ATTRIBUTES | ATTRIBUTE REASSIGNMENT

Reassign security and privacy attributes associated with information only via re-grading mechanisms validated using [Assignment: organization-defined techniques or procedures].

Supplemental Guidance: Validated re-grading mechanisms are employed by organizations to provide the requisite levels of assurance for security and privacy attribute reassignment activities. The validation is facilitated by ensuring that re-grading mechanisms are single purpose and of limited function. Since attribute reassignments can directly affect security and privacy policy enforcement actions, using trustworthy re-grading mechanisms is necessary to ensure that such mechanisms perform in a consistent and correct mode of operation.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | ATTRIBUTE CONFIGURATION BY AUTHORIZED INDIVIDUALS

Provide authorized individuals the capability to define or change the type and value of security and privacy attributes available for association with subjects and objects.

Supplemental Guidance: The content or assigned values of security and privacy attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals only.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | AUDIT CHANGES Audit changes to security and privacy attributes. Supplemental Guidance:

Related Controls: None.

References: FIPS Publications 140-2, 186-4; NIST Special Publications 800-162, 800-178.

 

AC-17 REMOTE ACCESS

Control:

1. Establish and document usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and
2. Authorize remote access to the system prior to allowing such

Supplemental Guidance: Remote access is access to organizational systems (or processes acting on behalf of users) communicating through external networks such as 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 provides sufficient assurance to the organization that it can effectively treat such connections as internal networks if the cryptographic mechanisms used are implemented in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. VPNs with encrypted tunnels can also affect the capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the specific 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.

Related Controls: AC-2, AC-3, AC-4, AC-18, AC-19, AC-20, CM-10, IA-2, IA-3, IA-8, MA-4, PE- 17, PL-2, PL-4, SC-10, SI-4.

Control Enhancements:

• REMOTE ACCESS | AUTOMATED MONITORING AND CONTROL

Monitor and control remote access methods.

 

Supplemental Guidance: Automated monitoring and control of remote access methods allows organizations to detect attacks and ensure compliance with remote access policies by auditing connection activities of remote users on a variety of system components including, for example, servers, workstations, notebook computers, smart phones, and tablets.

Related Controls: AU-2, AU-6, AU-12, AU-14.

• REMOTE ACCESS | PROTECTION OF CONFIDENTIALITY AND INTEGRITY USING ENCRYPTION

Implement cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.

Supplemental Guidance: The encryption strength of mechanism is selected based on the security categorization of the information.

Related Controls: SC-8, SC-12, SC-13.

• REMOTE ACCESS | MANAGED ACCESS CONTROL POINTS

Route all remote accesses through [Assignment: organization-defined number] managed network access control points.

Supplemental Guidance: Limiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the Trusted Internet Connections initiative requirements for external network connections.

Related Controls: SC-7.

• REMOTE ACCESS | PRIVILEGED COMMANDS AND ACCESS
  • Authorize the execution of privileged commands and access to security-relevant information via remote access only for [Assignment: organization-defined needs]; and
  • Document the rationale for such access in the security plan for the

Supplemental Guidance: None.

Related Controls: AC-6.

• REMOTE ACCESS | MONITORING FOR UNAUTHORIZED CONNECTIONS

[Withdrawn: Incorporated into SI-4].

• REMOTE ACCESS | PROTECTION OF INFORMATION

Protect information about remote access mechanisms from unauthorized use and disclosure.

Supplemental Guidance: None.

Related Controls: AT-2, AT-3, PS-6.

• REMOTE ACCESS | ADDITIONAL PROTECTION FOR SECURITY FUNCTION ACCESS

[Withdrawn: Incorporated into AC-3(10)].

• REMOTE ACCESS | DISABLE NONSECURE NETWORK PROTOCOLS

[Withdrawn: Incorporated into CM-7].

• REMOTE ACCESS | DISCONNECT OR DISABLE ACCESS

Provide the capability to expeditiously disconnect or disable remote access to the system within [Assignment: organization-defined time-period].

Supplemental Guidance: This control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the system or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions or business functions and the need to eliminate immediate or future remote access to systems.

Related Controls: None.

References: NIST Special Publications 800-46, 800-77, 800-113, 800-114, 800-121; NIST

Interagency Report 7966.

 

AC-18 WIRELESS ACCESS

Control:

1. Establish usage restrictions, configuration/connection requirements, and implementation guidance for wireless access; and

 

1. Authorize wireless access to the system prior to allowing such

Supplemental Guidance: Wireless technologies include, for example, microwave, packet radio (ultra-high frequency/very high frequency), 802.11x, and Bluetooth. Wireless networks use authentication protocols which provide credential protection and mutual authentication.

Related Controls: AC-2, AC-3, AC-17, AC-19, CA-9, CM-7, IA-2, IA-3, IA-8, PL-4, SC-40, SC- 43, SI-4.

Control Enhancements:

• WIRELESS ACCESS | AUTHENTICATION AND ENCRYPTION

Protect wireless access to the system using authentication of [Selection (one or more): users; devices] and encryption.

Supplemental Guidance: None.

Related Controls: SC-8, SC-13.

• WIRELESS ACCESS | MONITORING UNAUTHORIZED CONNECTIONS

[Withdrawn: Incorporated into SI-4].

• WIRELESS ACCESS | DISABLE WIRELESS NETWORKING

Disable, when not intended for use, wireless networking capabilities internally embedded within system components prior to issuance and deployment.

Supplemental Guidance: None.

Related Controls: None.

• WIRELESS ACCESS | RESTRICT CONFIGURATIONS BY USERS

Identify and explicitly authorize users allowed to independently configure wireless networking capabilities.

Supplemental Guidance: Organizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational systems.

Related Controls: SC-7, SC-15.

• WIRELESS ACCESS | ANTENNAS AND TRANSMISSION POWER LEVELS

Select radio antennas and calibrate transmission power levels to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries.

Supplemental Guidance: Actions that may be taken by organizations to limit the unauthorized use of wireless communications outside of organization-controlled boundaries include, for example, reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be captured outside of the physical perimeters of the organization; employing measures such as emissions security to control wireless emanations; and using directional or beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such mitigating actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational systems as well as other systems that may be operating in the area.

Related Controls: PE-19.

References: NIST Special Publications 800-48, 800-94, 800-97.

 

AC-19 ACCESS CONTROL FOR MOBILE DEVICES

Control:

1. Establish usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices;
2. Authorize the connection of mobile devices to organizational systems; and
3. Protect and control mobile devices when outside of controlled

 

Supplemental Guidance: A mobile device is a computing device that has a small form factor such that it can easily be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self- contained power source. Mobile device functionality 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 near 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 notebook/desktop systems, depending upon the nature and intended purpose of the device. Controlled areas are areas or spaces for which organizations provide sufficient physical or procedural safeguards to meet the requirements established for protecting information and systems.

Due to the large variety of mobile devices with different 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, 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.

Usage restrictions and authorization to connect may vary among organizational systems. For example, the organization may authorize the connection of mobile devices to the organizational network and impose a set of usage restrictions while a system owner may withhold authorization for mobile device connection to specific applications or may impose additional usage restrictions before allowing mobile device connections to a system. The need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards for mobile devices are reflected in other security controls allocated to the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some overlap by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.

Related Controls: AC-3, AC-4, AC-7, AC-17, AC-18, AC-20, CA-9, CM-2, CM-6, IA-3, MP-2,

MP-4, MP-5, MP-7, PL-4, SC-7, SC-34, SC-43, SI-3, SI-4.

Control Enhancements:

• ACCESS CONTROL FOR MOBILE DEVICES | USE OF WRITABLE AND PORTABLE STORAGE DEVICES

[Withdrawn: Incorporated into MP-7].

• ACCESS CONTROL FOR MOBILE DEVICES | USE OF PERSONALLY OWNED PORTABLE STORAGE DEVICES

[Withdrawn: Incorporated into MP-7].

• ACCESS CONTROL FOR MOBILE DEVICES | USE OF PORTABLE STORAGE DEVICES WITH NO IDENTIFIABLE OWNER

[Withdrawn: Incorporated into MP-7].

• ACCESS CONTROL FOR MOBILE DEVICES | RESTRICTIONS FOR CLASSIFIED INFORMATION
  • Prohibit the use of unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and
  • Enforce the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information:
    • Connection of unclassified mobile devices to classified systems is prohibited;
    • Connection of unclassified mobile devices to unclassified systems requires approval from the authorizing official;
    • Use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and

 

• Unclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by [Assignment: organization-defined security officials], and if classified information is found, the incident handling policy is

• Restrict the connection of classified mobile devices to classified systems in accordance with [Assignment: organization-defined security policies].

Supplemental Guidance:  None.

Related Controls:  CM-8, IR-4.

• ACCESS CONTROL FOR MOBILE DEVICES | FULL DEVICE AND CONTAINER-BASED ENCRYPTION

Employ [Selection: full-device encryption; container encryption] to protect the confidentiality and integrity of information on [Assignment: organization-defined mobile devices].

Supplemental Guidance: Container-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.

Related Controls: SC-13, SC-28.

References: NIST Special Publications 800-114, 800-124, 800-164.

 

AC-20 USE OF EXTERNAL SYSTEMS

Control: Establish terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to:

1. Access the system from external systems; and
2. Process, store, or transmit organization-controlled information using external

Supplemental Guidance: External systems are systems or components of 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 systems include, for example, personally owned systems, components, or devices; privately owned computing and communications devices in commercial or public facilities; systems owned or controlled by nonfederal organizations; and federal systems that are not owned by, operated by, or under the direct supervision and authority of the organization. This includes systems managed by contractors, systems owned by other federal agencies, and systems owned by other organizations within the same agency. This control addresses the use of external systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services from organizational systems.

For some external systems (i.e., systems operated by other federal agencies and 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. Systems within these organizations may not be considered external. These situations occur when, for example, there are pre-existing sharing and 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, regulations, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational systems and over which organizations have the authority to impose specific 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 on 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 external systems used to access public interfaces to organizational systems. Organizations establish specific terms and conditions for the use of external systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: the specific types of applications that can be accessed on organizational systems from

 

external systems; and the highest security category of information that can be processed, stored, or transmitted on external systems. If the terms and conditions with the owners of external systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.

Related Controls: AC-2, AC-3, AC-17, AC-19, CA-3, PL-2, PL-4, SA-9, SC-7.

Control Enhancements:

• USE OF EXTERNAL SYSTEMS | LIMITS ON AUTHORIZED USE

Permit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after:

• Verification of the implementation of required security and privacy controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans; or
• Retention of approved system connection or processing agreements with the organizational entity hosting the external

Supplemental Guidance: This control enhancement recognizes that there are circumstances where individuals using external systems need to access organizational systems. In those situations, organizations need confidence that the external systems contain the necessary security controls so as not to compromise, damage, or otherwise harm organizational systems. Verification that the required security controls have been implemented can be achieved, for example, by external, independent assessments, attestations, or other means, depending on the confidence level required by organizations.

Related Controls: CA-2.

• USE OF EXTERNAL SYSTEMS | PORTABLE STORAGE DEVICES

[Selection: Restrict the use of organization-controlled portable storage devices by authorized individuals on external systems using the following [Assignment: organization-defined restrictions]; Prohibit the use of organization-controlled portable storage devices by authorized individuals on external systems].

Supplemental Guidance: Limits on the use of organization-controlled portable storage devices in external 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.

Related Controls: MP-7, SC-41.

• USE OF EXTERNAL SYSTEMS | NON-ORGANIZATIONALLY OWNED SYSTEMS AND COMPONENTS

[Selection: Restrict the use of non-organizationally owned systems or system components to process, store, or transmit organizational information using the following [Assignment: organization-defined restrictions]; Prohibit the use of non-organizationally owned systems or system components to process, store, or transmit organizational information].

Supplemental Guidance: Non-organizationally owned systems or system components include systems or system components owned by other organizations and personally owned devices. There are potential risks to using non-organizationally owned systems or system components. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, the use of such systems or system components may be allowed but restricted in some way. Restrictions include, for example, requiring the implementation of approved security and privacy controls prior to authorizing the connection of non-organizationally owned systems and components; limiting access to certain types of information, services, or applications; using virtualization techniques to limit processing and storage activities to servers or other system components provisioned by the organization; and agreeing to the specified terms and conditions for usage. Organizations consult with the Office of the General Counsel regarding any legal issues associated with using personally owned devices, including, for example, requirements for conducting forensic analyses during investigations after an incident.

Related Controls: None.

• USE OF EXTERNAL SYSTEMS | NETWORK ACCESSIBLE STORAGE DEVICES

Prohibit the use of [Assignment: organization-defined network accessible storage devices] in external systems.

 

Supplemental Guidance: Network accessible storage devices in external systems include, for example, online storage devices in public, hybrid, or community cloud-based systems.

Related Controls: None.

References: FIPS Publication 199.

 

AC-21 INFORMATION SHARING

Control:

1. Facilitate information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions and privacy authorizations on the information for [Assignment: organization-defined information sharing circumstances where user discretion is required]; and
2. Employ [Assignment: organization-defined automated mechanisms or manual processes] to assist users in making information sharing and collaboration

Supplemental Guidance: This control applies to information that may be restricted in some manner based on some formal or administrative determination. Examples of such information include, contract-sensitive information, proprietary information, classified information related to special access programs or compartments, privileged medical information, and personally identifiable information. Risk analyses and privacy impact analyses can provide useful inputs to these determinations. Depending on the 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.

Related Controls: AC-3, AC-4, AC-16, SC-15.

Control Enhancements:

• INFORMATION SHARING | AUTOMATED DECISION SUPPORT

Enforce information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.

Supplemental Guidance: None.

Related Controls: None.

• INFORMATION SHARING | INFORMATION SEARCH AND RETRIEVAL

Implement information search and retrieval services that enforce [Assignment: organization- defined information sharing restrictions].

Supplemental Guidance: None.

Related Controls: None.

References: NIST Special Publication 800-150; NIST Interagency Report 8062.

 

AC-22 PUBLICLY ACCESSIBLE CONTENT

Control:

1. Designate individuals authorized to post information onto a publicly accessible system;
2. Train authorized individuals to ensure that publicly accessible information does not contain nonpublic information;
3. Review the proposed content of information prior to posting onto the publicly accessible system to ensure that nonpublic information is not included; and
4. Review the content on the publicly accessible system for nonpublic information [Assignment: organization-defined frequency] and remove such information, if

Supplemental Guidance: In accordance with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines, the public is not authorized access to nonpublic information including, for example, information protected under the Privacy Act and proprietary information.

 

This control addresses systems that are controlled by the organization and accessible to the public, typically without identification or authentication. The posting of information on non-organization systems is covered by organizational policy.

Related Controls:  AC-3, AT-2, AT-3, AU-13.

Control Enhancements: None.

References: None.

 

AC-23 DATA MINING PROTECTION

Control: Employ [Assignment: organization-defined data mining prevention and detection techniques] for [Assignment: organization-defined data storage objects] to detect and protect against unauthorized data mining.

Supplemental Guidance: Data storage objects include, for example, databases, database records, and database fields. Data mining prevention and detection techniques include, for example, limiting the types of responses provided to database queries; limiting the number and the frequency of database queries to increase the work factor needed to determine the contents of such databases; and 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.

Related Controls: None. Control Enhancements: None. References: None.

AC-24 ACCESS CONTROL DECISIONS

Control: Establish procedures to ensure [Assignment: organization-defined access control decisions] are applied to each access request prior to access enforcement.

Supplemental Guidance: Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when 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 systems, different entities may perform access control decisions and access enforcement.

Related Controls: AC-2, AC-3.

Control Enhancements:

• ACCESS CONTROL DECISIONS | TRANSMIT ACCESS AUTHORIZATION INFORMATION

Transmit [Assignment: organization-defined access authorization information] using [Assignment: organization-defined security safeguards] to [Assignment: organization-defined systems] that enforce access control decisions.

Supplemental Guidance: In distributed 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 because in distributed systems, there are various access control decisions that need to be made and different entities make these decisions in a serial fashion, each requiring security attributes to make the decisions. Protecting access authorization information ensures that such information cannot be altered, spoofed, or compromised during transmission.

 

Related Controls: None.

• ACCESS CONTROL DECISIONS | NO USER OR PROCESS IDENTITY

Enforce access control decisions based on [Assignment: organization-defined security attributes] that do not include the identity of the user or process acting on behalf of the user.

Supplemental Guidance: In 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 systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish.

Related Controls: None.

References: NIST Special Publications 800-162, 800-178.

 

AC-25 REFERENCE MONITOR

Control: Implement a reference monitor for [Assignment: 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.

Supplemental Guidance: Information is represented internally within 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 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 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 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.

Related Controls: AC-3, AC-16, SC-3, SC-11, SC-39, SI-13.

Control Enhancements: None.

References: None.

 

3.1     AWARENESS AND TRAINING

 

Quick link to Awareness and Training summary table

 

AT-1      AWARENESS AND TRAINING POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A security and privacy awareness and training policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the security and privacy awareness and training policy and the associated security and privacy awareness and training controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the security and privacy awareness and training policy and procedures;
3. Review and update the current security and privacy awareness and training:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the security and privacy awareness and training procedures implement the security and privacy awareness and training policy and controls; and
5. Develop, document, and implement remediation actions for violations of the awareness and training

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the AT family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-50, 800-100.

 

AT-2      AWARENESS TRAINING

Control: Provide basic security and privacy awareness training to system users (including managers, senior executives, and contractors):

1. As part of initial training for new users;
2. When required by system changes; and

 

1. [Assignment: organization-defined frequency]

Supplemental Guidance: Organizations determine the content of security and privacy awareness training and security and privacy awareness techniques based on the specific organizational requirements and the systems to which personnel have authorized access. The content includes an understanding of the need for information security and privacy and actions by users to maintain security and privacy and to respond to suspected security and privacy incidents. The content also addresses an awareness of the need for operations security. Security and privacy awareness techniques can include, for example, displaying posters, offering supplies inscribed with security and privacy reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security and privacy awareness events. Awareness training after the initial training (i.e., described AT-2c) is conducted at a minimum frequency consistent with applicable laws, directives, regulations, and policies. Such training may be satisfied by one or more short ad hoc sessions and include topical information on recent attack schemes, changes to organizational security and privacy policies, revised security and privacy expectations, and/or a subset of topics from the initial training.

Related Controls: AC-17, AC-22, AT-3, AT-4, CP-3, IA-4, IR-2, IR-7, IR-9, PA-2, PL-4, PM-13, PM-22, PS-7, SA-16.

Control Enhancements:

• AWARENESS TRAINING | PRACTICAL EXERCISES

Include practical exercises in awareness training that simulate security and privacy incidents.

Supplemental Guidance: Practical 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. Privacy-related practical exercises may include, for example, practice modules with quizzes on handling personally identifiable information and affected individuals in various scenarios.

Related Controls: CA-2, CA-7, CP-4, IR-3.

• AWARENESS TRAINING | INSIDER THREAT

Include awareness training on recognizing and reporting potential indicators of insider threat.

Supplemental Guidance: Potential 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 and privacy awareness training includes how to communicate the concerns of employees and management regarding potential indicators of insider threat through organizational channels in accordance with established policies and procedures.

Related Controls: PM-12.

• AWARENESS TRAINING | SOCIAL ENGINEERING AND MINING

Include awareness training on recognizing and reporting potential and actual instances of social engineering and social mining.

Supplemental Guidance: Social engineering is an attempt to trick someone into revealing information or taking an action that can be used to attack or compromise systems. Examples of social engineering include phishing, pretexting, baiting, quid pro quo, and tailgaiting.

Social mining is an attempt, in a social setting, to gather information about the organization that may support future attacks. Security and privacy awareness training includes information on how to communicate concerns of employees and management regarding potential and actual instances of social engineering and mining through organizational channels based on established policies and procedures.

Related Controls: None.

References: NIST Special Publication 800-50.

 

AT-3      ROLE-BASED TRAINING

Control: Provide role-based security and privacy training to personnel with the following roles and responsibilities: [Assignment: organization-defined roles and responsibilities]:

1. Before authorizing access to the system or performing assigned duties;
2. When required by system changes; and
3. [Assignment: organization-defined frequency]

Supplemental Guidance: Organizations determine the appropriate content of security and privacy training based on the assigned roles and responsibilities of individuals and the specific security and privacy requirements of organizations and the systems to which personnel have authorized access, including security-related technical training specifically tailored for assigned duties. Roles that may require role-based security and privacy training include, for example, system owners; authorizing officials; system security officers; privacy officers; enterprise architects; acquisition and procurement officials; systems engineers; system and software developers; system, network, and database administrators; personnel conducting configuration management activities; personnel performing verification and validation activities; auditors; personnel having access to system-level software; security and privacy control assessors; personnel with contingency planning and incident response duties; personnel with privacy management responsibilities; and personnel having access to personally identifiable information. 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, methods, and artifacts for the security and privacy roles defined. Organizations provide the training necessary for individuals to fulfill their responsibilities related to operations and supply chain security within the context of organizational information security and privacy programs.

Role-based security and privacy training also applies to contractors providing services to federal agencies.

Related Controls: AC-17, AC-22, AT-2, AT-4, CP-3, IR-2, IR-7, IR-9, IR-10, PL-4, PM-13, PM-24, PS-7, SA-3, SA-11, SA-12, SA-16, SA-19.

Control Enhancements:

• ROLE-BASED TRAINING | ENVIRONMENTAL CONTROLS

Provide [Assignment: organization-defined personnel or roles] with initial and [Assignment: organization-defined frequency] training in the employment and operation of environmental controls.

Supplemental Guidance: Environmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, heating, ventilation, and air conditioning, and power within the facility. Organizations identify personnel with specific roles and responsibilities associated with environmental controls requiring specialized training.

Related Controls: PE-1, PE-11, PE-13, PE-14, PE-15.

• ROLE-BASED TRAINING | PHYSICAL SECURITY CONTROLS

Provide [Assignment: organization-defined personnel or roles] with initial and [Assignment: organization-defined frequency] training in the employment and operation of physical security controls.

Supplemental Guidance: Physical 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.

Related Controls: PE-2, PE-3, PE-4.

• ROLE-BASED TRAINING | PRACTICAL EXERCISES

Include practical exercises in security and privacy training that reinforce training objectives.

 

Supplemental Guidance: Practical exercises for security may include, for example, security training for software developers that includes simulated cyber-attacks exploiting common software vulnerabilities, or spear/whale phishing attacks targeted at senior leaders/executives. Practical exercises for privacy may include, for example, practice modules with quizzes on handling personally identifiable information in various scenarios, and model scenarios on conducting privacy impact assessments.

Related Controls: None.

• ROLE-BASED TRAINING | SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR

Provide training to personnel on [Assignment: organization-defined indicators of malicious code] to recognize suspicious communications and anomalous behavior in organizational systems.

Supplemental Guidance: A 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 for example, 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 suspicious email or web communications. For this process to work effectively, organizational personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in organizational 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.

Related Controls: None.

• ROLE-BASED TRAINING | PERSONALLY IDENTIFIABLE INFORMATION PROCESSING

Provide personnel who process personally identifiable information with initial and [Assignment: organization-defined frequency] training on:

• Organizational authority for collecting personally identifiable information;
• Authorized uses of personally identifiable information;
• Content of System of Records Notices;
• Authorized sharing of personally identifiable information with external parties; and
• Consequences of unauthorized use or sharing of personally identifiable

Supplemental Guidance: Role-based training on handling personally identifiable information helps prevent unauthorized collections or uses of personally identifiable information.

Related Controls: PA-3, PA-4.

References: NIST Special Publication 800-50.

 

AT-4      TRAINING RECORDS

Control:

1. Document and monitor individual system security and privacy training activities including basic security and privacy awareness training and specific role-based system security and privacy training; and
2. Retain individual training records for [Assignment: organization-defined time-period].

Supplemental Guidance: Documentation for specialized training may be maintained by individual supervisors at the option of the organization. The National Archives and Records Administration provides guidance on records retention.

Related Controls: AT-2, AT-3, CP-3, IR-2, PM-14, SI-12.

Control Enhancements: None.

References: None.

 

AT-5      CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS

[Withdrawn: Incorporated into PM-15].

3.1     AUDIT AND ACCOUNTABILITY

 

Quick link to Audit and Accountability summary table

 

AU-1     AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. An audit and accountability policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the audit and accountability policy and procedures;
3. Review and update the current audit and accountability:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the audit and accountability procedures implement the audit and accountability policy and controls; and
5. Develop, document, and implement remediation actions for violations of the audit and accountability

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the AU family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-50, 800-100.

 

AU-2     AUDIT EVENTS

Control:

1. Verify that the system can audit the following event types: [Assignment: organization-defined auditable event types];

 

1. Coordinate the security audit function with other organizational entities requiring audit- related information to enhance mutual support and to help guide the selection of auditable event types;
2. Provide a rationale for why the auditable event types are deemed to be adequate to support after-the-fact investigations of security and privacy incidents; and
3. Specify that the following event types are to be audited within the system: [Assignment: 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].

Supplemental Guidance: An event is any observable occurrence in an organizational system. Organizations identify audit event types as those events which are significant and relevant to the security of systems and the environments in which those systems operate to meet specific and ongoing audit needs. Audit event types can include, for example, password changes; failed logons or failed accesses related to systems; security attribute changes, administrative privilege usage, PIV credential usage, query parameters, or external credential usage. In determining the set of auditable event types, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other system needs, this control also requires identifying that subset of auditable event types that are audited at a given point in time. For example, organizations may determine that 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 and privacy controls and control enhancements for example, AC-2(4), AC-3(10), AC- 6(9), AC-16(11), AC-17(1), CM-3.f, CM-5(1), IA-3(3.b), MA-4(1), MP-4(2), PA-4.d, PE-3, PM-

22, RA-8, SC-7(9), SC-7(15), SI-3(8), SI-4(22), SI-7(8), and SI-10(1). Organizations also include auditable event types that are required by applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. Audit records can be generated at various levels, including at the packet level as information traverses the network. Selecting the appropriate level of auditing is an important aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable event types, the auditing necessary to cover related event types such as the steps in distributed, transaction-based processes and actions that occur in service-oriented architectures.

Related Controls:  AC-2, AC-3, AC-6, AC-7, AC-8, AC-16, AC-17, AU-3, AU-4, AU-5, AU-6, AU-

7, AU-11, AU-12, CM-3, CM-5, CM-6, IA-3, MA-4, MP-4, PA-4, PE-3, PM-22, RA-8, SC-7, SC-

18, SI-3, SI-4, SI-7, SI-10, SI-11.

Control Enhancements:

• AUDIT EVENTS | COMPILATION OF AUDIT RECORDS FROM MULTIPLE SOURCES

[Withdrawn: Incorporated into AU-12].

• AUDIT EVENTS | SELECTION OF AUDIT EVENTS BY COMPONENT

[Withdrawn: Incorporated into AU-12].

• AUDIT EVENTS | REVIEWS AND UPDATES

Review and update the audited events [Assignment: organization-defined frequency].

Supplemental Guidance: Over 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.

Related Controls: None.

• AUDIT EVENTS | PRIVILEGED FUNCTIONS

[Withdrawn: Incorporated into AC-6(9)].

References: NIST Special Publication 800-92.

 

AU-3     CONTENT OF AUDIT RECORDS

Control: The 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.

Supplemental Guidance: Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user or 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, for example, the security and privacy state of the system after the event occurred.

Related Controls: AU-2, AU-8, AU-12, AU-14, MA-4, SI-7, SI-11.

Control Enhancements:

• CONTENT OF AUDIT RECORDS | ADDITIONAL AUDIT INFORMATION

Generate audit records containing the following additional information: [Assignment: organization- defined additional, more detailed information].

Supplemental Guidance: Implementation of this control enhancement is dependent on system functionality to configure audit record content. Detailed 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.

Related Controls: None.

• CONTENT OF AUDIT RECORDS | CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT

Provide centralized management and configuration of the content to be captured in audit records generated by [Assignment: organization-defined system components].

Supplemental Guidance: This 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 system.

Related Controls: AU-6, AU-7.

• CONTENT OF AUDIT RECORDS | LIMIT PERSONALLY IDENTIFIABLE INFORMATION ELEMENTS

Limit personally identifiable information contained in audit records to the following elements identified in the privacy risk assessment: [Assignment: organization-defined elements].

Supplemental Guidance: Limiting personally identifiable information in audit records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system.

Related Controls: None.

References: NIST Interagency Report 8062.

 

AU-4     AUDIT STORAGE CAPACITY

Control: Allocate audit record storage capacity to accommodate [Assignment: organization-defined audit record retention requirements].

Supplemental Guidance: Organizations 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.

Related Controls: AU-2, AU-5, AU-6, AU-7, AU-9, AU-11, AU-12, AU-14, SI-4.

 

Control Enhancements:

(1) AUDIT STORAGE CAPACITY | TRANSFER TO ALTERNATE STORAGE

Off-load audit records [Assignment: organization-defined frequency] onto a different system or media than the system being audited.

Supplemental Guidance: Off-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary system to a secondary or alternate system. It is a common process in 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.

Related Controls: None.

References: None.

 

AU-5     RESPONSE TO AUDIT PROCESSING FAILURES

Control:

1. Alert [Assignment: organization-defined personnel or roles] in the event of an audit processing failure within [Assignment: organization-defined time-period]; and
2. Take the following additional actions: [Assignment: organization-defined actions to be taken].

Supplemental Guidance: Organization-defined actions include, for example, shutting down the system; overwriting oldest audit records; and stopping the generation of audit records. Examples of audit processing failures include, for example, software and hardware errors; failures in the audit capturing mechanisms; and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for audit processing failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. This control applies to each audit data storage repository (i.e., distinct system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.

Related Controls: AU-2, AU-4, AU-7, AU-9, AU-11, AU-12, AU-14, SI-4, SI-12.

Control Enhancements:

• RESPONSE TO AUDIT PROCESSING FAILURES | AUDIT STORAGE CAPACITY

Provide a warning to [Assignment: organization-defined personnel, roles, and/or locations] within [Assignment: organization-defined time-period] when allocated audit record storage volume reaches [Assignment: organization-defined percentage] of repository maximum audit record storage capacity.

Supplemental Guidance: Organizations may have multiple audit data storage repositories distributed across multiple system components, with each repository having different storage volume capacities.

Related Controls: None.

• RESPONSE TO AUDIT PROCESSING FAILURES | REAL-TIME ALERTS

Provide an alert in [Assignment: organization-defined real-time-period] to [Assignment: organization-defined personnel, roles, and/or locations] when the following audit failure events occur: [Assignment: organization-defined audit failure events requiring real-time alerts].

Supplemental Guidance: Alerts 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).

Related Controls: None.

• RESPONSE TO AUDIT PROCESSING FAILURES | CONFIGURABLE TRAFFIC VOLUME THRESHOLDS

Enforce configurable network communications traffic volume thresholds reflecting limits on auditing capacity and [Selection: rejects; delays] network traffic above those thresholds.

 

Supplemental Guidance: Organizations 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 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.

Related Controls: None.

• RESPONSE TO AUDIT PROCESSING FAILURES | SHUTDOWN ON FAILURE

Invoke a [Selection: full system shutdown; partial system shutdown; degraded operational mode with limited mission/business functionality available] in the event of [Assignment: organization- defined audit failures], unless an alternate audit capability exists.

Supplemental Guidance: Organizations determine the types of audit failures that can trigger automatic system shutdowns or degraded operations. Because of the importance of ensuring mission and business continuity, organizations may determine that the nature of the audit failure is not so severe that it warrants a complete shutdown of the system supporting the core organizational missions and business operations. In those instances, partial system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.

Related Controls: AU-15.

References: None.

 

AU-6     AUDIT REVIEW, ANALYSIS, AND REPORTING

Control:

1. Review and analyze system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity];
2. Report findings to [Assignment: organization-defined personnel or roles]; and
3. Adjust the level of audit review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of

Supplemental Guidance: Audit 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 system boundaries, and use of mobile code or VoIP. Findings can be reported to organizational entities that include, for example, the 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, the review/analysis may be carried out by other organizations granted such authority. The frequency, scope, and/or depth of the audit review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.

Related Controls: AC-2, AC-3, AC-6, AC-7, AC-17, AU-7, AU-16, CA-7, CM-2, CM-5, CM-6,

CM-10, CM-11, IA-2, IA-3, IA-5, IA-8, IR-5, MA-4, MP-4, PE-3, PE-6, RA-5, SC-7, SI-3, SI-4, SI-7.

Control Enhancements:

• AUDIT REVIEW, ANALYSIS, AND REPORTING | AUTOMATED PROCESS INTEGRATION

Employ automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.

Supplemental Guidance: Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits.

Related Controls: PM-7.

 

• AUDIT REVIEW, ANALYSIS, AND REPORTING | AUTOMATED SECURITY ALERTS

[Withdrawn: Incorporated into SI-4].

• AUDIT REVIEW, ANALYSIS, AND REPORTING | CORRELATE AUDIT REPOSITORIES

Analyze and correlate audit records across different repositories to gain organization-wide situational awareness.

Supplemental Guidance: Organization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and system) and supports cross-organization awareness.

Related Controls: AU-12, IR-4.

• AUDIT REVIEW, ANALYSIS, AND REPORTING | CENTRAL REVIEW AND ANALYSIS

Provide and implement the capability to centrally review and analyze audit records from multiple components within the system.

Supplemental Guidance: Automated mechanisms for centralized reviews and analyses include, for example, Security Information Management products.

Related Controls: AU-2, AU-12.

• AUDIT REVIEW, ANALYSIS, AND REPORTING | INTEGRATED ANALYSIS OF AUDIT RECORDS

Integrate analysis of audit records with analysis of [Selection (one or more): vulnerability scanning information; performance data; system monitoring information; [Assignment: organization-defined data/information collected from other sources]] to further enhance the ability to identify inappropriate or unusual activity.

Supplemental Guidance: This control enhancement does not require vulnerability scanning, the generation of performance data, or 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 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 uncover denial of service attacks or other types of 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.

Related Controls: AU-12, IR-4.

• AUDIT REVIEW, ANALYSIS, AND REPORTING | CORRELATION WITH PHYSICAL MONITORING

Correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.

Supplemental Guidance: The correlation of physical audit information and audit logs from 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 systems with the additional physical security information that the individual was present at the facility when the logical access occurred, may be useful in investigations.

Related Controls: None.

• AUDIT REVIEW, ANALYSIS, AND REPORTING | PERMITTED ACTIONS

Specify the permitted actions for each [Selection (one or more): system process; role; user] associated with the review, analysis, and reporting of audit information.

Supplemental Guidance: Organizations specify permitted actions for 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 system and include, for example, read, write, execute, append, and delete.

 

Related Controls: None.

• AUDIT REVIEW, ANALYSIS, AND REPORTING | FULL TEXT ANALYSIS OF PRIVILEGED COMMANDS

Perform a full text analysis of audited privileged commands in a physically distinct component or subsystem of the system, or other system that is dedicated to that analysis.

Supplemental Guidance: This control enhancement requires a distinct environment for the dedicated analysis of audit information related to privileged users without compromising such information on the 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.

Related Controls: AU-3, AU-9, AU-11, AU-12.

• AUDIT REVIEW, ANALYSIS, AND REPORTING | CORRELATION WITH INFORMATION FROM NONTECHNICAL SOURCES

Correlate information from nontechnical sources with audit information to enhance organization- wide situational awareness.

Supplemental Guidance: Nontechnical sources include, for example, human resources records documenting organizational policy violations including, for example, sexual harassment incidents and improper use of organizational information assets. Such information can lead 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.

Related Controls: PM-12.

• AUDIT REVIEW, ANALYSIS, AND REPORTING | AUDIT LEVEL ADJUSTMENT

[Withdrawn: Incorporated into AU-6].

References: NIST Special Publications 800-86, 800-101.

 

AU-7     AUDIT REDUCTION AND REPORT GENERATION

Control: Provide and implement an audit reduction and report generation capability that:

1. Supports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and
2. Does not alter the original content or time ordering of audit

Supplemental Guidance: Audit 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 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 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.

Related Controls: AC-2, AU-2, AU-3, AU-4, AU-5, AU-6, AU-12, AU-16, CM-5, IA-5, IR-4, PM- 12, SI-4.

Control Enhancements:

• AUDIT REDUCTION AND REPORT GENERATION | AUTOMATIC PROCESSING

Provide and implement the capability to process audit records for events of interest based on [Assignment: organization-defined audit fields within audit records].

 

Supplemental Guidance: Events 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, Internet Protocol 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 or selectable by specific system component.

Related Controls: None.

• AUDIT REDUCTION AND REPORT GENERATION | AUTOMATIC SORT AND SEARCH

Provide and implement the capability to sort and search audit records for events of interest based on the content of [Assignment: organization-defined audit fields within audit records].

Supplemental Guidance: Sorting and searching of audit records may be based upon the contents of audit record fields, for example, date and time of events; user identifiers; Internet Protocol addresses involved in the event; type of event; or event success or failure.

Related Controls: None.

References: None.

 

AU-8     TIME STAMPS

Control:

1. Use internal system clocks to generate time stamps for audit records; and
2. Record time stamps for audit records that can be mapped to Coordinated Universal Time or Greenwich Mean Time and meets [Assignment: organization-defined granularity of time measurement].

Supplemental Guidance: Time stamps generated by the 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 system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or 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.

Related Controls: AU-3, AU-12, AU-14.

Control Enhancements:

• TIME STAMPS | SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE
  • Compare the internal system clocks [Assignment: organization-defined frequency] with [Assignment: organization-defined authoritative time source]; and
  • Synchronize the internal system clocks to the authoritative time source when the time difference is greater than [Assignment: organization-defined time-period].

Supplemental Guidance: This control enhancement provides uniformity of time stamps for systems with multiple system clocks and systems connected over a network.

Related Controls: None.

• TIME STAMPS | SECONDARY AUTHORITATIVE TIME SOURCE
  • Identify a secondary authoritative time source that is in a different geographic region than the primary authoritative time source; and
  • Synchronize the internal system clocks to the secondary authoritative time source if the primary authoritative time source is

Supplemental Guidance: It may be necessary to employ geolocation information to determine that the secondary authoritative time source is in a different geographic region.

Related Controls: None.

References: None.

 

AU-9     PROTECTION OF AUDIT INFORMATION

Control: Protect audit information and audit tools from unauthorized access, modification, and deletion.

Supplemental Guidance: Audit information includes all information, for example, audit records, audit settings, audit reports, and personally identifiable information, needed to successfully audit system activity. This control focuses on technical or automated protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.

Related Controls: AC-3, AC-6, AU-6, AU-11, AU-14, AU-15, MP-2, MP-4, PE-2, PE-3, PE-6, SC- 8, SI-4.

Control Enhancements:

• PROTECTION OF AUDIT INFORMATION | HARDWARE WRITE-ONCE MEDIA

Write audit trails to hardware-enforced, write-once media.

Supplemental Guidance: This 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.

Related Controls: AU-4, AU-5.

• PROTECTION OF AUDIT INFORMATION | STORE ON SEPARATE PHYSICAL SYSTEMS OR COMPONENTS

Store audit records [Assignment: organization-defined frequency] in a repository that is part of a physically different system or system component than the system or component being audited.

Supplemental Guidance: Storing audit information in a repository separate from the audited system or system component helps to ensure that a compromise of the system being audited does not also result in a compromise of the audit records. It may also enable management of audit records as an organization-wide activity. This control enhancement applies to initial generation as well as backup or long-term storage of audit information.

Related Controls: AU-4, AU-5.

• PROTECTION OF AUDIT INFORMATION | CRYPTOGRAPHIC PROTECTION

Implement cryptographic mechanisms to protect the integrity of audit information and audit tools.

Supplemental Guidance: Cryptographic 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.

Related Controls: AU-10, SC-12, SC-13.

• PROTECTION OF AUDIT INFORMATION | ACCESS BY SUBSET OF PRIVILEGED USERS

Authorize access to management of audit functionality to only [Assignment: organization-defined subset of privileged users].

Supplemental Guidance: Individuals with privileged access to a 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.

Related Controls: AC-5.

• PROTECTION OF AUDIT INFORMATION | DUAL AUTHORIZATION

Enforce dual authorization for [Selection (one or more): movement; deletion] of [Assignment: organization-defined audit information].

 

Supplemental Guidance: Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms require the approval of two authorized individuals to execute. Dual authorization may also be known as two-person control.

Related Controls: AC-3.

• PROTECTION OF AUDIT INFORMATION | READ ONLY ACCESS

Authorize read-only access to audit information to [Assignment: organization-defined subset of privileged users].

Supplemental Guidance: Restricting privileged user authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users, for example, deleting audit records to cover up malicious activity.

Related Controls: None.

• PROTECTION OF AUDIT INFORMATION | STORE ON COMPONENT WITH DIFFERENT OPERATING SYSTEM

Store audit information on a component running a different operating system than the system or component being audited.

Supplemental Guidance: This control enhancement helps reduce the risk of a vulnerability specific to an operating system resulting in a compromise of the audit records.

Related controls: AU-4, AU-5, AU-11, SC-29.

References: FIPS Publications 140-2, 180-4, 202.

 

AU-10 NON-REPUDIATION

Control: Protect against an individual (or process acting on behalf of an individual) falsely denying having performed [Assignment: organization-defined actions to be covered by non-repudiation].

Supplemental Guidance: Types of individual actions covered by non-repudiation include creating information, sending and receiving messages, and approving information. Non-repudiation protects individuals against later claims by authors of not having authored certain documents; senders of not having transmitted messages; receivers of not having received messages; and individual signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from a certain individual, or if an individual took specific actions, for example, sending an email, signing a contract, or approving a procurement request, or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms including, for example, digital signatures and digital message receipts.

Related Controls: AU-9, PM-12, SC-8, SC-12, SC-13, SC-16, SC-17, SC-23.

Control Enhancements:

• NON-REPUDIATION | ASSOCIATION OF IDENTITIES
  • Bind the identity of the information producer with the information to [Assignment: organization-defined strength of binding]; and
  • Provide the means for authorized individuals to determine the identity of the producer of the information.

Supplemental Guidance: This 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.

Related Controls: AC-4, AC-16.

• NON-REPUDIATION | VALIDATE BINDING OF INFORMATION PRODUCER IDENTITY
  • Validate the binding of the information producer identity to the information at [Assignment: organization-defined frequency]; and
  • Perform [Assignment: organization-defined actions] in the event of a validation

 

Supplemental Guidance: This control enhancement prevents the modification of information between production and review. The validation of bindings can be achieved, for example, using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.

Related Controls: AC-3, AC-4, AC-16.

• NON-REPUDIATION | CHAIN OF CUSTODY

Maintain reviewer or releaser identity and credentials within the established chain of custody for all information reviewed or released.

Supplemental Guidance: Chain 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 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.

Related Controls: AC-4, AC-16.

• NON-REPUDIATION | VALIDATE BINDING OF INFORMATION REVIEWER IDENTITY
  • Validate the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between [Assignment: organization-defined security domains]; and
  • Perform [Assignment: organization-defined actions] in the event of a validation

Supplemental Guidance: This control enhancement prevents the modification of information between review and transfer/release. The validation of bindings can be achieved, for example, using cryptographic checksums. Organizations determine validations are in response to user requests or generated automatically.

Related Controls: AC-4, AC-16.

• NON-REPUDIATION | DIGITAL SIGNATURES

[Withdrawn: Incorporated into SI-13].

References: FIPS Publications 140-2, 180-4, 186-4, 202; NIST Special Publication 800-177.

 

AU-11 AUDIT RECORD RETENTION

Control: Retain audit records for [Assignment: organization-defined time-period consistent with records retention policy] to provide support for after-the-fact investigations of security and privacy incidents and to meet regulatory and organizational information retention requirements.

Supplemental Guidance: Organizations 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.

Related Controls: AU-2, AU-4, AU-5, AU-6, AU-9, AU-14, MP-6, RA-5, SI-12.

Control Enhancements:

(1) AUDIT RECORD RETENTION | LONG-TERM RETRIEVAL CAPABILITY

Employ [Assignment: organization-defined measures] to ensure that long-term audit records generated by the system can be retrieved.

Supplemental Guidance: This control enhancement helps to ensure that, from a technological perspective, audit records requiring long-term storage (on the order of years) can be accessed

 

and read when needed. Measures 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.

Related Controls: None.

References: None.

 

AU-12 AUDIT GENERATION

Control:

1. Provide audit record generation capability for the auditable event types in AU-2 a. at [Assignment: organization-defined system components];
2. Allow [Assignment: organization-defined personnel or roles] to select which auditable event types are to be audited by specific components of the system; and
3. Generate audit records for the event types defined in AU-2 d. with the content in AU-3.

Supplemental Guidance: Audit records can be generated from many different system components. The list of audited event types is the set of event types for which audits are to be generated. These event types are a subset of all event types for which the system can generate audit records.

Related Controls: AC-6, AC-17, AU-2, AU-3, AU-4, AU-5, AU-6, AU-7, AU-14, CM-5, MA-4, MP-4, PM-12 SC-18, SI-3, SI-4, SI-7, SI-10.

Control Enhancements:

• AUDIT GENERATION | SYSTEM-WIDE AND TIME-CORRELATED AUDIT TRAIL

Compile audit records from [Assignment: organization-defined system components] into a system- wide (logical or physical) audit trail that is time-correlated to within [Assignment: organization- defined level of tolerance for the relationship between time stamps of individual records in the audit trail].

Supplemental Guidance: Audit 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.

Related Controls: AU-8.

• AUDIT GENERATION | STANDARDIZED FORMATS

Produce a system-wide (logical or physical) audit trail composed of audit records in a standardized format.

Supplemental Guidance: Audit information that is normalized to common standards promotes interoperability and exchange of such information between dissimilar devices and 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 systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.

Related Controls: None.

• AUDIT GENERATION | CHANGES BY AUTHORIZED INDIVIDUALS

Provide and implement the capability for [Assignment: organization-defined individuals or roles] to change the auditing to be performed on [Assignment: organization-defined system components] based on [Assignment: organization-defined selectable event criteria] within [Assignment: organization-defined time thresholds].

Supplemental Guidance: This control enhancement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of event types 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.

Related Controls: AC-3.

• AUDIT GENERATION | QUERY PARAMETER AUDITS OF PERSONALLY IDENTIFIABLE INFORMATION

Provide and implement the capability for auditing the parameters of user query events for data sets containing personally identifiable information.

Supplemental Guidance: Query parameters are explicit criteria that a user or automated system submits to a system to retrieve data. Auditing of query parameters within systems for datasets that contain personally identifiable information augments an organization’s ability to track and understand the access, usage, or sharing of personally identifiable information by authorized personnel.

Related Controls: None.

References: None.

 

AU-13 MONITORING FOR INFORMATION DISCLOSURE

Control: Monitor [Assignment: organization-defined open source information and/or information sites] [Assignment: organization-defined frequency] for evidence of unauthorized disclosure of organizational information.

Supplemental Guidance: Open source information includes, for example, social networking sites.

Related Controls: AC-22, PE-3, PM-12, RA-5, SC-7.

Control Enhancements:

• MONITORING FOR INFORMATION DISCLOSURE | USE OF AUTOMATED TOOLS

Employ automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.

Supplemental Guidance: Automated mechanisms can include, for example, automated scripts to monitor new posts on selected websites, and commercial services providing notifications and alerts to organizations.

Related Controls: None.

• MONITORING FOR INFORMATION DISCLOSURE | REVIEW OF MONITORED SITES

Review the open source information sites being monitored [Assignment: organization-defined frequency].

Supplemental Guidance: None.

Related Controls: None.

References: None.

 

AU-14 SESSION AUDIT

Control: Provide and implement the capability for authorized users to select a user session to capture/record or view/hear.

Supplemental Guidance: Session 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 laws, Executive Orders, directives, policies, regulations, standard, and guidelines.

Related Controls: AC-3, AU-2, AU-3, AU-4, AU-5, AU-8, AU-9, AU-11, AU-12.

Control Enhancements:

• SESSION AUDIT | SYSTEM START-UP

Initiate session audits automatically at system start-up.

Supplemental Guidance: None.

 

Related Controls: None.

• SESSION AUDIT | CAPTURE AND RECORD CONTENT

Provide and implement the capability for authorized users to capture, record, and log content related to a user session.

Supplemental Guidance: None.

Related Controls: None.

• SESSION AUDIT | REMOTE VIEWING AND LISTENING

Provide and implement the capability for authorized users to remotely view and hear content related to an established user session in real time.

Supplemental Guidance: None.

Related Controls: AC-17.

References: None.

 

AU-15 ALTERNATE AUDIT CAPABILITY

Control: Provide an alternate audit capability in the event of a failure in primary audit capability that implements [Assignment: organization-defined alternate audit functionality].

Supplemental Guidance: Since 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.

Related Controls: AU-5, AU-9. Control Enhancements: None. References: None.

AU-16 CROSS-ORGANIZATIONAL AUDITING

Control: Employ [Assignment: organization-defined methods] for coordinating [Assignment: organization-defined audit information] among external organizations when audit information is transmitted across organizational boundaries.

Supplemental Guidance: When organizations use 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 specific services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance and privacy ramifications. Therefore, it is often the case that cross-organizational auditing simply captures the identity of individuals issuing requests at the initial system, and subsequent systems record that the requests emanated from authorized individuals.

Related Controls: AU-6, AU-7.

Control Enhancements:

• CROSS-ORGANIZATIONAL AUDITING | IDENTITY PRESERVATION

Require that the identity of individuals is preserved in cross-organizational audit trails.

Supplemental Guidance: This control enhancement applies when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.

Related Controls: IA-2, IA-4, IA-5, IA-8.

• CROSS-ORGANIZATIONAL AUDITING | SHARING OF AUDIT INFORMATION

Provide cross-organizational audit information to [Assignment: organization-defined organizations] based on [Assignment: organization-defined cross-organizational sharing agreements].

 

Supplemental Guidance: Because 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.

Related Controls: IR-4, SI-4.

References: None.

 

 

 

3.2     ASSESSMENT, AUTHORIZATION, AND MONITORING

Quick link to Assessment, Authorization, and Monitoring summary table

 

CA-1      ASSESSMENT, AUTHORIZATION, AND MONITORING POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A security and privacy assessment, authorization, and monitoring policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the security and privacy assessment, authorization, and monitoring policy and the associated security and privacy assessment, authorization, and monitoring controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the security and privacy assessment, authorization, and monitoring policy and procedures;
3. Review and update the current security and privacy assessment, authorization, and monitoring:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the security and privacy assessment, authorization, and monitoring procedures implement the security and privacy assessment, authorization, and monitoring policy and controls; and
5. Develop, document, and implement remediation actions for violations of security and privacy assessment, authorization, and monitoring

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the CA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-50, 800-100, 800-122; NIST

Interagency Report 8062.

CA-2    ASSESSMENTS

Control:

1. Develop a security and privacy assessment plan that describes the scope of the assessment including:
   1. Security and privacy controls and control enhancements under assessment;
   2. Assessment procedures to be used to determine control effectiveness; and
   3. Assessment environment, assessment team, and assessment roles and responsibilities;
2. Ensure the assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;
3. Assess the security and privacy controls in the system and its environment of operation [Assignment: 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 and privacy requirements;
4. Produce a security and privacy assessment report that document the results of the assessment; and
5. Provide the results of the security and privacy control assessment to [Assignment: organization-defined individuals or roles].

Supplemental Guidance: Organizations assess security and privacy controls in organizational systems and the environments in which those systems operate as part of initial and ongoing authorizations; FISMA annual assessments; continuous monitoring; and system development life cycle activities. Assessments ensure that organizations meet information security and privacy requirements; identify weaknesses and deficiencies in the development process; provide essential information needed to make risk-based decisions as part of authorization processes; and ensure compliance to vulnerability mitigation procedures. Organizations conduct assessments on the implemented controls from Chapter Three as documented in security plans and privacy plans.

Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security and privacy posture of systems during the entire life cycle. 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 controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting requirements. Assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of authorization decisions are provided to authorizing officials, senior agency officials for privacy, and/or authorizing official designated representatives.

To satisfy annual assessment requirements, organizations can use assessment results from the following sources: initial or ongoing system authorizations; continuous monitoring; or system development life cycle activities. Organizations ensure that assessment results are current, relevant to the determination of control effectiveness, and obtained with the appropriate level of assessor independence. Existing 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. After the initial authorizations, organizations assess controls during continuous monitoring. Organizations also establish the frequency for ongoing assessments in accordance with organizational continuous monitoring strategies. External audits including, for example, audits by external entities such as regulatory agencies, are outside the scope of this control.

Related Controls: AC-20, CA-5, CA-6, CA-7, PM-9, RA-5, SA-11, SA-12, SC-38, SI-3, SI-12.

Control Enhancements:

• ASSESSMENTS | INDEPENDENT ASSESSORS

Employ independent assessors or assessment teams to conduct security and privacy control assessments.

 

Supplemental Guidance: Independent assessors or assessment teams are individuals or groups conducting impartial assessments of systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest regarding development, operation, sustainment, or management of the systems under assessment or the determination of control effectiveness.

To achieve impartiality, assessors should not create a mutual or conflicting interest with the organizations where the assessments are being conducted; assess their own work; act as management or employees of the organizations they are serving; or 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 systems and/or the 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 assessment services have sufficient independence, for example, when system owners are not directly involved in contracting processes or cannot influence the impartiality of assessors conducting assessments. When organizations that own the 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.

Related Controls: None.

• ASSESSMENTS | SPECIALIZED ASSESSMENTS

Include as part of security and privacy control assessments, [Assignment: organization-defined frequency], [Selection: announced; unannounced], [Selection (one or more): in-depth monitoring; vulnerability scanning; malicious user testing; insider threat assessment; performance and load testing; [Assignment: organization-defined other forms of assessment]].

Supplemental Guidance: Organizations can conduct specialized assessments including, for example, verification, validation, insider threat assessments, malicious user testing, system monitoring, and other forms of testing. Such assessments can improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security and privacy. Organizations conduct these types of specialized assessments in accordance with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. 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.

Related Controls: PE-3, SI-2.

• ASSESSMENTS | EXTERNAL ORGANIZATIONS

Accept the results of security and privacy control assessments of [Assignment: organization- defined system] performed by [Assignment: organization-defined external organization] when the assessment meets [Assignment: organization-defined requirements].

Supplemental Guidance: Organizations may rely on security and privacy control assessments of organizational systems by other (external) organizations. Using such assessments and reusing existing assessment evidence can significantly decrease the time and resources required for assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations consider in determining whether to accept assessment results from external organizations can vary. Such factors include, for example, past assessment experiences the organization has had with the organization conducting the assessment; the reputation that the assessing organization has with regard to assessments; the level of detail of supporting assessment evidence provided; and the mandates imposed by applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.

 

Related Controls: None.

References: FIPS Publication 199; NIST Special Publications 800-37, 800-39, 800-53A, 800-115,

800-122, 800-137; NIST Interagency Report 8062.

 

CA-3      SYSTEM INTERCONNECTIONS

Control:

1. Authorize connections from the system to other systems using Interconnection Security Agreements;
2. Document, for each interconnection, the interface characteristics, security and privacy requirements, and the nature of the information communicated; and
3. Review and update Interconnection Security Agreements [Assignment: organization-defined frequency].

Supplemental Guidance: This control applies to dedicated connections between two or more separate systems and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations consider the risks that may be introduced when systems are connected to other systems with different security and privacy requirements and controls, including systems within the same organization and systems external to the organization. Authorizing officials determine the risk associated with 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, those organizations can describe the interface characteristics between the interconnecting systems in their respective security and privacy plans. If interconnecting systems have different authorizing officials within the same organization, the organizations can develop Interconnection Security Agreements or they can describe the interface characteristics between the systems in the security and privacy 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 organizations. Risk considerations also include systems sharing the same networks. As part of the risk assessment of connecting to external systems, organizations consider the number and types of transitive connections that exist when establishing such connections.

Related Controls: AC-20, AU-16, IA-3, PL-2, RA-3, SA-9, SC-7, SI-12.

Control Enhancements:

• SYSTEM INTERCONNECTIONS | UNCLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS

Prohibit the direct connection of an [Assignment: organization-defined unclassified, national security system] to an external network without the use of [Assignment: organization-defined boundary protection device].

Supplemental Guidance: Organizations typically do not have control over external networks including the Internet. Approved boundary protection devices including, for example, routers and firewalls. mediate communications and information flows between unclassified national security systems and external networks.

Related Controls: None.

• SYSTEM INTERCONNECTIONS | CLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS

Prohibit the direct connection of a classified, national security system to an external network without the use of [Assignment: organization-defined boundary protection device].

Supplemental Guidance: Organizations typically do not have control over external networks including the Internet. Approved boundary protection devices including, for example, routers and firewalls, mediate communications and 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 systems to external networks.

Related Controls: None.

 

• SYSTEM INTERCONNECTIONS | UNCLASSIFIED NON-NATIONAL SECURITY SYSTEM CONNECTIONS

Prohibit the direct connection of an [Assignment: organization-defined unclassified, non-national security system] to an external network without the use of [Assignment; organization-defined boundary protection device].

Supplemental Guidance: Organizations typically do not have control over external networks including the Internet. Approved boundary protection devices including, for example, routers and firewalls mediate communications and information flows between unclassified non- national security systems and external networks.

Related Controls: None.

• SYSTEM INTERCONNECTIONS | CONNECTIONS TO PUBLIC NETWORKS

Prohibit the direct connection of an [Assignment: organization-defined system] to a public network.

Supplemental Guidance: A public network is any network accessible to the general public including, for example, the Internet and organizational extranets with public access.

Related Controls: None.

• SYSTEM INTERCONNECTIONS | RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS

Employ a deny-all, permit-by-exception policy for allowing [Assignment: organization-defined systems] to connect to external systems.

Supplemental Guidance: Organizations can constrain system connectivity to external domains by employing a deny-all, permit-by-exception policy known as whitelisting. Organizations determine what exceptions, if any, are acceptable. This control enhancement is applied to a system that is connected to another system. Alternatively, control enhancement SC-7(5) applies to any type of network communications.

Related Controls: SC-7.

• SYSTEM INTERCONNECTIONS | SECONDARY AND TERTIARY CONNECTIONS
  • Identify secondary and tertiary connections to the interconnected systems; and
  • Take measures to ensure that connections are severed when security and privacy controls on identified secondary and tertiary systems cannot be verified or

Supplemental Guidance: For certain critical systems and applications including, for example, high-value assets, it may be necessary to identify second and third level connections to the interconnected systems. The transparency of the protection measures in place in secondary and tertiary systems connected directly or indirectly to organizational systems is essential in understanding the actual security and privacy risks resulting from those interconnections.

Organizational systems can inherit risk from secondary and tertiary systems through those connections and make the organizational systems more susceptible to threats, hazards, and adverse consequences.

Related Controls: None.

References: FIPS Publication 199; NIST Special Publication 800-47.

 

CA-4      SECURITY CERTIFICATION

[Withdrawn: Incorporated into CA-2].

 

CA-5      PLAN OF ACTION AND MILESTONES

Control:

1. Develop a plan of action and milestones for the system to document the planned remedial actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; and
2. Update existing plan of action and milestones [Assignment: organization-defined frequency] based on the findings from control assessments, impact analyses, and continuous monitoring activities.

 

Supplemental Guidance: Plans of action and milestones are required documents in authorization packages and are subject to federal reporting requirements established by OMB.

Related Controls: CA-2, CA-7, PM-4, PM-9, RA-7, SI-2, SI-12.

Control Enhancements:

(1) PLAN OF ACTION AND MILESTONES | AUTOMATION SUPPORT FOR ACCURACY AND CURRENCY

Employ automated mechanisms to ensure that the plan of action and milestones for the system is accurate, up to date, and readily available.

Supplemental Guidance: None.

Related Controls: None.

References: NIST Special Publication 800-37.

 

CA-6      AUTHORIZATION

Control:

1. Assign a senior-level executive or manager as the authorizing official for the system and for any common controls inherited by the system;
2. Ensure that the authorizing official, before commencing operations:
   1. Authorizes the system for processing; and
   2. Authorizes the common controls inherited by the system; and
3. Update the authorizations [Assignment: organization-defined frequency].

Supplemental Guidance: Authorizations are official management decisions by senior officials to authorize operation of systems (including the controls inherited by those 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 and privacy controls. Authorizing officials provide budgetary oversight for organizational systems or assume responsibility for the mission and business operations supported by those systems. The authorization process is a federal responsibility and therefore, authorizing officials must be federal employees. Authorizing officials are responsible and accountable for security and privacy risks associated with the operation and use of organizational systems. Nonfederal organizations may have similar processes to authorize their systems and senior officials that assume the authorization role and associated responsibilities. Organizations conduct ongoing authorizations of systems by implementing continuous monitoring programs. Robust continuous monitoring programs reduce the need for separate reauthorization processes. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages including the security and privacy plans, security and privacy assessment reports, and plans of action and milestones, is updated on an ongoing basis. This provides authorizing officials, system owners, and common control providers with an up-to-date status of the security and privacy state of their systems, controls, and environments of operation. To reduce the cost of reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.

Related Controls: CA-2, CA-7, PM-9, PM-10, SA-10, SI-12.

Control Enhancements:

• AUTHORIZATION | JOINT AUTHORIZATION — SAME ORGANIZATION

Employ a joint authorization process for the system that includes multiple authorizing officials from the same organization conducting the authorization.

Supplemental Guidance: Assigning multiple authorizing officials from the same organization to serve as co-authorizing officials for the system, increases the level of independence in the risk-based decision making process for security and privacy. It also implements the concepts of separation of duties and dual authorization as applied to the system authorization process.

 

This enhancement is most relevant for interconnected systems, shared systems, and systems with one or more information owners.

Related Controls: AC-6.

• AUTHORIZATION | JOINT AUTHORIZATION — DIFFERENT ORGANIZATIONS

Employ a joint authorization process for the system that includes multiple authorizing officials with at least one authorizing official from an organization external to the organization conducting the authorization.

Supplemental Guidance: Assigning multiple authorizing officials, at least one of which comes from an external organization, to serve as co-authorizing officials for the system, increases the level of independence in the risk-based decision making process for security and privacy. It also implements the concepts of separation of duties and dual authorization and as applied to the system authorization process. Employing authorizing officials from external organizations to supplement the authorization official from the organization owning or hosting the system may be necessary when those organizations have a vested interest or equities in the outcome of the authorization decision. This situation may occur with interconnected systems, shared systems, and systems with one or more information owners. Accordingly, the authorizing officials from the external organizations may be considered key stakeholders of the system undergoing authorization.

Related Controls: AC-6.

References: NIST Special Publications 800-37, 800-137; NIST Supplemental Guidance on Ongoing Authorization.

 

CA-7      CONTINUOUS MONITORING

Control: Develop a security and privacy continuous monitoring strategy and implement security and privacy continuous monitoring programs that include:

1. Establishing the following security and privacy metrics to be monitored: [Assignment: organization-defined metrics];
2. Establishing [Assignment: organization-defined frequencies] for monitoring and [Assignment: organization-defined frequencies] for ongoing assessment of security and privacy control effectiveness;
3. Ongoing security and privacy control assessments in accordance with the organizational continuous monitoring strategy;
4. Ongoing security and privacy status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;
5. Correlation and analysis of security- and privacy-related information generated by security and privacy control assessments and monitoring;
6. Response actions to address results of the analysis of security- and privacy-related information; and
7. Reporting the security and privacy status of the organization and organizational systems to [Assignment: organization-defined personnel or roles] [Assignment: organization-defined frequency].

Supplemental Guidance: Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security and privacy to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess security and privacy controls and associated risks at a frequency sufficient to support risk-based decisions. The results of continuous monitoring generate risk response actions by organizations. When monitoring the effectiveness of controls that have been grouped into capabilities, a root-cause analysis may be needed to determine the specific control that has failed. Continuous monitoring programs also allow organizations to maintain the authorizations of systems and common controls over time in highly dynamic environments of operation with changing mission and business needs, threats,

 

vulnerabilities, and technologies. Having access to security- and privacy-related information on a continuing basis through reports and dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing authorization decisions. Automation supports more frequent updates to hardware, software, and firmware inventories, authorization packages, 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 systems.

Related Controls: AC-2, AC-6, AU-6, CA-2, CA-5, CA-6, CM-3, CM-4, CM-6, CM-11, IA-5, PE-

6, PL-2, PM-4, PM-6, PM-9, PM-10, PM-12, PM-14, PM-32, RA-3, RA-5, RA-7, SA-11, SC-5, SC-38, SI-3, SI-4, SI-12.

Control Enhancements:

• CONTINUOUS MONITORING | INDEPENDENT ASSESSMENT

Employ independent assessors or assessment teams to monitor the security and privacy controls in the system on an ongoing basis.

Supplemental Guidance: Organizations can maximize the value of control assessments during the continuous monitoring process by requiring that assessments be conducted by assessors with appropriate levels of independence. The level of assessor independence required is based on organizational continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not create a mutual or conflicting interest with the organizations where the assessments are being conducted; assess their own work; act as management or employees of the organizations they are serving; or place themselves in advocacy positions for the organizations acquiring their services.

Related Controls: None.

• CONTINUOUS MONITORING | TYPES OF ASSESSMENTS

[Withdrawn: Incorporated into CA-2].

• CONTINUOUS MONITORING | TREND ANALYSES

Employ trend analyses to determine if security and privacy control implementations, the frequency of continuous monitoring activities, and the types of activities used in the continuous monitoring process need to be modified based on empirical data.

Supplemental Guidance: Trend analyses can include, for example, examining recent threat information regarding the types of threat events that have occurred within the organization or the federal government, success rates of certain types of attacks, emerging vulnerabilities in specific technologies, evolving social engineering techniques, results from multiple control assessments, the effectiveness of configuration settings, and findings from Inspectors General or auditors.

Related Controls: None.

• CONTINUOUS MONITORING | RISK MONITORING

Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following:

• Effectiveness monitoring;
• Compliance monitoring; and
• Change

Supplemental Guidance: Effectiveness monitoring determines the ongoing effectiveness of implemented risk response measures. Compliance monitoring verifies that the required risk response measures are implemented. It also verifies that security and privacy requirements are satisfied. Change monitoring identifies changes to organizational systems and environments of operation that may affect security and privacy risk.

Related Controls: None.

References: NIST Special Publications 800-37, 800-39, 800-53A, 800-115, 800-122, 800-137;

NIST Interagency Reports 8011, 8062.

 

CA-8      PENETRATION TESTING

Control: Conduct penetration testing [Assignment: organization-defined frequency] on [Assignment: organization-defined systems or system components].

Supplemental Guidance:  Penetration testing is a specialized type of assessment conducted on systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Penetration testing goes beyond automated vulnerability scanning and is most effectively conducted by penetration testing agents and teams with demonstrable skills and experience that, depending on the scope of the penetration testing, include technical expertise in network, operating system, and/or application level security. Penetration testing can be used to either validate vulnerabilities or determine the degree of penetration resistance of systems to adversaries within specified constraints. Such constraints include, for example, time, resources, and skills. Penetration testing attempts to duplicate the actions of adversaries in carrying out attacks against organizations and provides a more in-depth analysis of security- and privacy- related weaknesses or deficiencies. Organizations can use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of a system and can exercise both physical and technical controls. A standard method for penetration testing includes, for example, pretest analysis based on full knowledge of the target system; pretest identification of potential vulnerabilities based on pretest analysis; and testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before commencement of penetration testing scenarios. Organizations correlate the rules of engagement for the penetration tests with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Risk assessments guide the decisions on the level of independence required for personnel conducting penetration testing.

Related Controls: SA-11, SA-12.

Control Enhancements:

• PENETRATION TESTING | INDEPENDENT PENETRATION AGENT OR TEAM

Employ an independent penetration agent or penetration team to perform penetration testing on the system or system components.

Supplemental Guidance: Independent penetration agents or teams are individuals or groups who conduct impartial penetration testing of organizational systems. Impartiality implies that penetration agents or teams are free from any perceived or actual conflicts of interest with respect to the development, operation, or management of the systems that are the targets of the penetration testing. Supplemental guidance for CA-2(1) provides additional information on independent assessments that can be applied to penetration testing.

Related Controls: CA-2.

• PENETRATION TESTING | RED TEAM EXERCISES

Employ [Assignment: organization-defined red team exercises] to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement.

Supplemental Guidance: Red team exercises extend the objectives of penetration testing by examining the security and privacy posture of organizations and their ability to implement effective cyber defenses. Red team exercises reflect simulated attempts by adversaries to compromise organizational missions and business functions and provide a comprehensive assessment of the security and privacy state of systems and organizations. Simulated attempts by adversaries to compromise missions and business functions and the systems that support those missions and functions may include technology-based attacks and social engineering- based attacks. Technology-based attacks include interactions with hardware, software, or firmware components and/or mission and business processes. Social engineering-based attacks include interactions via email, telephone, shoulder surfing, or personal conversations. Red team exercises are most effectively conducted by penetration testing agents and teams with knowledge of and experience with current adversarial tactics, techniques, procedures, and tools. While penetration testing may be primarily laboratory-based testing, organizations

 

can use red team exercises to provide more comprehensive assessments that reflect real-world conditions. Red team exercises can be used to improve security and privacy awareness and training and to assess control effectiveness.

Related Controls: None.

• PENETRATION TESTING | FACILITY PENETRATION TESTING

Employ a penetration testing process that includes [Assignment: organization-defined frequency] [Selection: announced; unannounced] attempts to bypass or circumvent controls associated with physical access points to the facility.

Supplemental Guidance:  None.

Related Controls:  CA-2, PE-3.

References: None.

 

CA-9      INTERNAL SYSTEM CONNECTIONS

Control:

1. Authorize internal connections of [Assignment: organization-defined system components or classes of components] to the system; and
2. Document, for each internal connection, the interface characteristics, security and privacy requirements, and the nature of the information

Supplemental Guidance: This control applies to connections between organizational systems and separate constituent system components. These intra-system connections, include, for example, system connections with mobile devices, notebook computers, desktop computers, workstations, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal system connection, organizations can authorize internal connections for a class of system components with common characteristics and/or configurations. This can include, for example, all digital printers, scanners, and copiers with a specified processing, transmission, and storage capability or all smart phones with a specific baseline configuration.

Related Controls: AC-3, AC-4, AC-18, AC-19, CM-2, IA-3, SC-7, SI-12.

Control Enhancements:

(1) INTERNAL SYSTEM CONNECTIONS | COMPLIANCE CHECKS

Perform security and privacy compliance checks on constituent system components prior to the establishment of the internal connection.

Supplemental Guidance: Compliance checks may include, for example, verification of the relevant baseline configuration.

Related Controls: CM-6.

References: NIST Special Publication 800-124; NIST Interagency Report 8023.

 

3.1     CONFIGURATION MANAGEMENT

Quick link to Configuration Management summary table

 

CM-1     CONFIGURATION MANAGEMENT POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A configuration management policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the configuration management policy and the associated configuration management controls;
2. Designate an [Assignment: organization-defined senior management official] to manage configuration management policy and procedures;
3. Review and update the current configuration management:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the configuration management procedures implement the configuration management policy and controls; and
5. Develop, document, and implement remediation actions for violations of the configuration management

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the CM family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

CM-2     BASELINE CONFIGURATION

Control:

1. Develop, document, and maintain under configuration control, a current baseline configuration of the system; and
2. Review and update the baseline configuration of the system:

 

1. [Assignment: organization-defined frequency];
2. When required due to [Assignment organization-defined circumstances]; and
3. When system components are installed or

Supplemental Guidance: This control establishes baseline configurations for 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 systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to systems. Baseline configurations include information about system components, network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational systems change over time. Baseline configurations of systems reflect the current enterprise architecture.

Related Controls: AC-19, AU-6, CA-9, CM-1, CM-3, CM-5, CM-6, CM-8, CM-9, CP-9, CP-10, CP-12, PL-8, PM-5, SA-10, SC-18.

Control Enhancements:

• BASELINE CONFIGURATION | REVIEWS AND UPDATES

[Withdrawn: Incorporated into CM-2].

• BASELINE CONFIGURATION | AUTOMATION SUPPORT FOR ACCURACY AND CURRENCY

Employ automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the system.

Supplemental Guidance: Automated mechanisms that help organizations maintain consistent baseline configurations for 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 system level, or at the operating system or component level including, for example, on workstations, servers, notebook computers, network components, or mobile devices. Tools can be used, for example, to track version numbers on operating systems, 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 system component inventory and baseline configuration activities.

Related Controls: CM-7, IA-3, RA-5.

• BASELINE CONFIGURATION | RETENTION OF PREVIOUS CONFIGURATIONS

Retain [Assignment: organization-defined previous versions of baseline configurations of the system] to support rollback.

Supplemental Guidance: Retaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.

Related Controls: None.

• BASELINE CONFIGURATION | UNAUTHORIZED SOFTWARE

[Withdrawn: Incorporated into CM-7(4)].

• BASELINE CONFIGURATION | AUTHORIZED SOFTWARE

[Withdrawn: Incorporated into CM-7(5)].

• BASELINE CONFIGURATION | DEVELOPMENT AND TEST ENVIRONMENTS

Maintain a baseline configuration for system development and test environments that is managed separately from the operational baseline configuration.

Supplemental Guidance: Establishing separate baseline configurations for development, testing, and operational environments helps protect 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.

Related Controls: CM-4, SC-3, SC-7.

• BASELINE CONFIGURATION | CONFIGURE SYSTEMS AND COMPONENTS FOR HIGH-RISK AREAS
  • Issue [Assignment: organization-defined systems or system components] with [Assignment: organization-defined configurations] to individuals traveling to locations that the organization deems to be of significant risk; and
  • Apply [Assignment: organization-defined security safeguards] to the components when the individuals return from

Supplemental Guidance: When it is known that systems or system components will be in high- risk areas, additional controls may be implemented to counter the increased threat in such areas. For example, organizations can take specific actions for notebook computers used by individuals departing on and returning from travel. These actions can 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 component after travel is completed. Specially configured notebook computers include, for example, computers with sanitized hard drives, limited applications, and 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 and reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family.

Related Controls: None.

References: NIST Special Publications 800-124, 800-128.

 

CM-3     CONFIGURATION CHANGE CONTROL

Control:

1. Determine the types of changes to the system that are configuration-controlled;
2. Review proposed configuration-controlled changes to the system and approve or disapprove such changes with explicit consideration for security impact analyses;
3. Document configuration change decisions associated with the system;
4. Implement approved configuration-controlled changes to the system;
5. Retain records of configuration-controlled changes to the system for [Assignment: organization-defined time-period];
6. Monitor and review activities associated with configuration-controlled changes to the system; and
7. Coordinate and provide oversight for configuration change control activities through [Assignment: organization-defined configuration change control element] that convenes [Selection (one or more): [Assignment: organization-defined frequency]; [Assignment: organization-defined configuration change conditions]].

Supplemental Guidance: Configuration change controls for organizational 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 systems; changes to configuration settings for component products; unscheduled or unauthorized changes; and changes to remediate vulnerabilities. Configuration change control elements can include such entities as committees or boards. Typical processes for managing configuration changes to systems include, for example, Configuration Control Boards or Change Advisory Boards that review and approve

 

proposed changes to systems. For new development systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards or Change Advisory Boards. Auditing of changes includes activities before and after changes are made to organizational systems and the auditing activities required to implement such changes.

Related Controls: CA-7, CM-2, CM-4, CM-5, CM-6, CM-9, CM-11, IA-3, MA-2, PE-16, SA-10,

SA-19, SC-28, SC-34, SC-37, SI-2, SI-3, SI-4, SI-7, SI-10.

Control Enhancements:

• CONFIGURATION CHANGE CONTROL | AUTOMATED DOCUMENTATION, NOTIFICATION, AND PROHIBITION OF CHANGES

Employ automated mechanisms to:

• Document proposed changes to the system;
• Notify [Assignment: organized-defined approval authorities] of proposed changes to the system and request change approval;
• Highlight proposed changes to the system that have not been approved or disapproved by [Assignment: organization-defined time-period];
• Prohibit changes to the system until designated approvals are received;
• Document all changes to the system; and
• Notify [Assignment: organization-defined personnel] when approved changes to the system are

Supplemental Guidance: None.

Related Controls: None.

• CONFIGURATION CHANGE CONTROL | TESTING, VALIDATION, AND DOCUMENTATION OF CHANGES

Test, validate, and document changes to the system before fully implementing the changes on the system.

Supplemental Guidance: Changes to systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with system operations. Individuals or groups conducting tests understand organizational security and privacy policies and procedures, system security and privacy policies and procedures, and the health, safety, and environmental risks associated with specific facilities or processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If systems must be taken off- line for testing, the tests are scheduled to occur during planned system outages whenever possible. If the testing cannot be conducted on operational systems, organizations employ compensating controls.

Related Controls: None.

• CONFIGURATION CHANGE CONTROL | AUTOMATED CHANGE IMPLEMENTATION

Employ automated mechanisms to implement changes to the current system baseline and deploy the updated baseline across the installed base.

Supplemental Guidance: None.

Related Controls: None.

• CONFIGURATION CHANGE CONTROL | SECURITY REPRESENTATIVE

Require an [Assignment: organization-defined information security representative] to be a member of the [Assignment: organization-defined configuration change control element].

Supplemental Guidance: Information security representatives can include, for example, Senior Agency Information Security Officers, system security officers, or system security managers. Representation by personnel with information security expertise is important because changes to 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 systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3.

 

Related Controls: None.

• CONFIGURATION CHANGE CONTROL | AUTOMATED SECURITY RESPONSE

Implement [Assignment: organization-defined security responses] automatically if baseline configurations are changed in an unauthorized manner.

Supplemental Guidance: Security responses include, for example, halting system processing, halting selected system functions, or issuing alerts or notifications to organizational personnel when there is an unauthorized modification of a configuration item.

Related Controls: None.

• CONFIGURATION CHANGE CONTROL | CRYPTOGRAPHY MANAGEMENT

Ensure that cryptographic mechanisms used to provide [Assignment: organization-defined security safeguards] are under configuration management.

Supplemental Guidance: Regardless of the cryptographic means employed, organizations ensure that there are processes and procedures in place to manage those means. For example, if devices use certificates for identification and authentication, a process is implemented to address the expiration of those certificates.

Related Controls: SC-12.

References: NIST Special Publications 800-124, 800-128; NIST Interagency Report 8062.

 

CM-4     SECURITY AND PRIVACY IMPACT ANALYSES

Control: Analyze changes to the system to determine potential security and privacy impacts prior to change implementation.

Supplemental Guidance: Organizational personnel with security or privacy responsibilities conduct impact analyses. Individuals conducting impact analyses possess the necessary skills and technical expertise to analyze the changes to systems and the associated security or privacy ramifications.

Security and privacy impact analyses include, for example, reviewing security and privacy plans, policies, and procedures to understand security and privacy control requirements; reviewing system design documentation to understand control implementation and how specific changes might affect the controls; and determining how potential changes to a system create new risks to the privacy of individuals and the ability of implemented controls to mitigate those risks. Impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security or privacy controls are required.

Related Controls: CA-7, CM-3, CM-8, CM-9, MA-2, RA-5, SA-5, SA-10, SI-2.

Control Enhancements:

• SECURITY AND PRIVACY IMPACT ANALYSES | SEPARATE TEST ENVIRONMENTS

Analyze changes to the system in a separate test environment before implementation in an operational environment, looking for security and privacy impacts due to flaws, weaknesses, incompatibility, or intentional malice.

Supplemental Guidance: Separate 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.

Related Controls: SA-11, SC-7.

• SECURITY AND PRIVACY IMPACT ANALYSES | VERIFICATION OF SECURITY AND PRIVACY FUNCTIONS

Check the security and privacy functions after system changes, to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security and privacy requirements for the system.

Supplemental Guidance: Implementation in this context refers to installing changed code in the operational system.

 

Related Controls: SA-11, SC-3, SI-6.

References: NIST Special Publication 800-128.

 

CM-5     ACCESS RESTRICTIONS FOR CHANGE

Control: Define, document, approve, and enforce physical and logical access restrictions associated with changes to the system.

Supplemental Guidance: Any changes to the hardware, software, and/or firmware components of systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access systems for purposes of initiating changes, including upgrades and modifications. 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 (i.e., changes implemented into external interfaces rather than directly into systems), and change windows (i.e., changes occur only during specified times).

Related Controls: AC-3, AC-5, AC-6, CM-9, PE-3, SC-28, SC-34, SC-37, SI-2, SI-10.

Control Enhancements:

• ACCESS RESTRICTIONS FOR CHANGE | AUTOMATED ACCESS ENFORCEMENT AND AUDITING
  • Enforce access restrictions; and
  • Generate audit records of the enforcement

Supplemental Guidance: Organizations log access records associated with applying configuration changes to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes.

Related Controls: AU-2, AU-6, AU-7, AU-12, CM-6, CM-11, SI-12.

• ACCESS RESTRICTIONS FOR CHANGE | REVIEW SYSTEM CHANGES

Review system changes [Assignment: organization-defined frequency] and [Assignment: organization-defined circumstances] to determine whether unauthorized changes have occurred.

Supplemental Guidance: Indications that warrant review of system changes and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process.

Related Controls: AU-6, AU-7, CM-3.

• ACCESS RESTRICTIONS FOR CHANGE | SIGNED COMPONENTS

Prevent the installation of [Assignment: organization-defined software and firmware components] without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.

Supplemental Guidance: Software 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.

Related Controls: CM-7, SC-13, SI-7.

• ACCESS RESTRICTIONS FOR CHANGE | DUAL AUTHORIZATION

Enforce dual authorization for implementing changes to [Assignment: organization-defined system components and system-level information].

Supplemental Guidance: Organizations employ dual authorization to ensure that any changes to selected system components and information cannot occur unless two qualified individuals implement such changes. The two individuals possess sufficient skills and expertise to determine if the proposed changes are correct implementations of approved changes. Dual authorization may also be known as two-person control.

Related Controls: AC-2, AC-5, CM-3.

 

• ACCESS RESTRICTIONS FOR CHANGE | PRIVILEGE LIMITATION FOR PRODUCTION AND OPERATION
  • Limit privileges to change system components and system-related information within a production or operational environment; and
  • Review and reevaluate privileges [Assignment: organization-defined frequency].

Supplemental Guidance: In many organizations, systems support many missions and business functions. Limiting privileges to change system components with respect to operational systems is necessary because changes to a system component may have far-reaching effects on mission and business processes supported by the system. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers.

Related Controls: AC-2.

• ACCESS RESTRICTIONS FOR CHANGE | LIMIT LIBRARY PRIVILEGES

Limit privileges to change software resident within software libraries. Supplemental Guidance: Software libraries include privileged programs. Related Controls: AC-2.

• ACCESS RESTRICTIONS FOR CHANGE | AUTOMATIC IMPLEMENTATION OF SECURITY SAFEGUARDS

[Withdrawn: Incorporated into SI-7].

References: FIPS Publications 140-2, 186-4.

 

CM-6     CONFIGURATION SETTINGS

Control:

1. Establish and document configuration settings for components employed within the system using [Assignment: organization-defined common secure configurations] that reflect the most restrictive mode consistent with operational requirements;
2. Implement the configuration settings;
3. Identify, document, and approve any deviations from established configuration settings for [Assignment: organization-defined system components] based on [Assignment: organization- defined operational requirements]; and
4. Monitor and control changes to the configuration settings in accordance with organizational policies and

Supplemental Guidance: Configuration settings are the parameters that can be changed in hardware, software, or firmware components of the system that affect the security posture or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers, workstations, input/output devices, network devices, operating systems, and applications. Security-related parameters are those parameters impacting the security state of systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example, registry settings; account, file, directory permission settings; and settings for functions, ports, protocols, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific configuration settings for 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 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. Implementation of a specific common secure configuration may be mandated at the organizational or mission/business process level or may be

 

mandated at a higher level including, for example, by a regulatory agency. 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 provide an effective method to uniquely identify, track, and control configuration settings.

Related Controls: AC-3, AC-19, AU-2, AU-6, CA-9, CM-2, CM-3, CM-5, CM-7, CM-11, CP-7,

CP-9, CP-10, IA-3, IA-5, PL-8, RA-5, SA-4, SA-5, SA-9, SC-18, SC-19, SC-28, SC-43, SI-2, SI- 4, SI-6.

Control Enhancements:

• CONFIGURATION SETTINGS | AUTOMATED MANAGEMENT, APPLICATION, AND VERIFICATION

Employ automated mechanisms to centrally manage, apply, and verify configuration settings for [Assignment: organization-defined system components].

Supplemental Guidance:

Related Controls: CA-7.

• CONFIGURATION SETTINGS | RESPOND TO UNAUTHORIZED CHANGES

Employ [Assignment: organization-defined security safeguards] to respond to unauthorized changes to [Assignment: organization-defined configuration settings].

Supplemental Guidance: Responses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected system processing.

Related Controls: IR-4, IR-6, SI-7.

• CONFIGURATION SETTINGS | UNAUTHORIZED CHANGE DETECTION

[Withdrawn: Incorporated into SI-7].

• CONFIGURATION SETTINGS | CONFORMANCE DEMONSTRATION

[Withdrawn: Incorporated into CM-4].

References: NIST Special Publications 800-70, 800-126, 800-128; US Government Configuration Baselines; National Checklist Repository.

 

CM-7     LEAST FUNCTIONALITY

Control:

1. Configure the system to provide only essential capabilities; and
2. Prohibit or restrict the use of the following functions, ports, protocols, and/or services: [Assignment: organization-defined prohibited or restricted functions, ports, protocols, and/or services].

Supplemental Guidance: Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default, may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component, but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations review functions and services provided by systems or components of systems, to determine which functions and services are candidates for elimination. Organizations consider disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of devices, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, protocols, ports, and services.

Related Controls: AC-3, AC-4, CM-2, CM-5, CM-11, RA-5, SA-4, SA-5, SA-9, SA-15, SC-7, SC-

37. SI-4.

 

Control Enhancements:

• LEAST FUNCTIONALITY | PERIODIC REVIEW
  • Review the system [Assignment: organization-defined frequency] to identify unnecessary and/or nonsecure functions, ports, protocols, and services; and
  • Disable [Assignment: organization-defined functions, ports, protocols, and services within the system deemed to be unnecessary and/or nonsecure].

Supplemental Guidance: Organizations can either decide 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.

Related Controls: AC-18.

• LEAST FUNCTIONALITY | PREVENT PROGRAM EXECUTION

Prevent program execution in accordance with [Selection (one or more): [Assignment: organization-defined policies regarding software program usage and restrictions]; rules authorizing the terms and conditions of software program usage].

Supplemental Guidance: This control enhancement addresses organizational policies restricting software usage as well as the terms and conditions imposed by the developer or manufacturer including, for example, software licensing and copyrights. Restrictions include, for example, restricting the roles allowed to approve program execution; prohibiting auto-execute; program blacklisting and whitelisting; or restricting the number of program instances executed at the same time.

Related Controls: CM-8, PM-5.

• LEAST FUNCTIONALITY | REGISTRATION COMPLIANCE

Ensure compliance with [Assignment: organization-defined registration requirements for functions, ports, protocols, and services].

Supplemental Guidance: Organizations use the registration process to manage, track, and provide oversight for systems and implemented functions, ports, protocols, and services.

Related Controls: None.

• LEAST FUNCTIONALITY | UNAUTHORIZED SOFTWARE — BLACKLISTING
  • Identify [Assignment: organization-defined software programs not authorized to execute on the system];
  • Employ an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the system; and
  • Review and update the list of unauthorized software programs [Assignment: organization- defined frequency].

Supplemental Guidance: The process used to identify specific software programs or entire categories of software programs that are not authorized to execute on organizational 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.

Related Controls: CM-6, CM-8, CM-10, PM-5.

• LEAST FUNCTIONALITY | AUTHORIZED SOFTWARE — WHITELISTING
  • Identify [Assignment: organization-defined software programs authorized to execute on the system];
  • Employ a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system; and
  • Review and update the list of authorized software programs [Assignment: organization- defined frequency].

Supplemental Guidance: The process used to identify specific software programs or entire categories of software programs that are authorized to execute on organizational systems is commonly referred to as whitelisting. To effect comprehensive whitelisting and increase the strength of protection for attacks that bypass application level whitelisting, software programs may be decomposed into and monitored at multiple levels of detail. Software program levels of detail include, for example, applications, application programming interfaces, application

 

modules, scripts, system processes, system services, kernel actions, registries, drivers, and dynamic link libraries. The concept of whitelisting may also be applied to user actions, ports, IP addresses, and media access control (MAC) addresses. 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.

Related Controls: CM-2, CM-6, CM-8, CM-10, PM-5, SA-10, SC-34, SI-7.

References: FIPS Publications 140-2, 180-4, 186-4, 202; NIST Special Publication 800-167.

 

CM-8     SYSTEM COMPONENT INVENTORY

Control:

1. Develop and document an inventory of system components that:
   1. Accurately reflects the current system;
   2. Includes all components within the authorization boundary of the system;
   3. Is at the level of granularity deemed necessary for tracking and reporting; and
   4. Includes [Assignment: organization-defined information deemed necessary to achieve effective system component accountability]; and
2. Review and update the system component inventory [Assignment: organization-defined frequency].

Supplemental Guidance: System components are discrete identifiable information technology assets that represent a building block of a system and include hardware, software, firmware, and virtual machines. Organizations may choose to implement centralized system component inventories that include components from all organizational systems. In such situations, organizations ensure that the inventories include system-specific information required for proper component accountability. Information necessary for effective accountability of system components includes, for example, hardware inventory specifications; software license information; software component owners; version numbers; and for networked components or devices, the machine names and network addresses. Inventory specifications include, for example, manufacturer; device type; model; serial number; and physical location.

Related Controls: CM-2, CM-7, CM-9, CM-10, CM-11, CP-2, CP-9, MA-6, PE-20, PM-5, PM-29, SA-4, SA-5, SI-2.

Control Enhancements:

• SYSTEM COMPONENT INVENTORY | UPDATES DURING INSTALLATION AND REMOVAL

Update the inventory of system components as an integral part of component installations, removals, and system updates.

Supplemental Guidance:  None.

Related Controls: None.

• SYSTEM COMPONENT INVENTORY | AUTOMATED MAINTENANCE

Employ automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of system components.

Supplemental Guidance: Organizations maintain 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 system component inventory and baseline configuration activities.

Related Controls: None.

 

• SYSTEM COMPONENT INVENTORY | AUTOMATED UNAUTHORIZED COMPONENT DETECTION
  • Employ automated mechanisms [Assignment: organization-defined frequency] to detect the presence of unauthorized hardware, software, and firmware components within the system; and
  • Take the following actions when unauthorized components are detected: [Selection (one or more): disable network access by such components; isolate the components; notify [Assignment: organization-defined personnel or roles]].

Supplemental Guidance: This 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 systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing.

Related Controls: AC-19, CA-7, RA-5, SI-3, SI-4, SI-7.

• SYSTEM COMPONENT INVENTORY | ACCOUNTABILITY INFORMATION

Includes in the system component inventory information, a means for identifying by [Selection (one or more): name; position; role], individuals responsible and accountable for administering those components.

Supplemental Guidance: Identifying individuals who are both responsible and accountable for administering system components helps to ensure that the assigned components are properly administered and organizations can contact those individuals if some action is required, for example, the component is determined to be the source of a breach; the component needs to be recalled or replaced; or the component needs to be relocated.

Related Controls: None.

• SYSTEM COMPONENT INVENTORY | NO DUPLICATE ACCOUNTING OF COMPONENTS
  • Verify that all components within the authorization boundary of the system are not duplicated in other system component inventories; or
  • If a centralized component inventory is used, verify components are not assigned to multiple systems.

Supplemental Guidance: This control enhancement addresses the potential problem of duplicate accounting of system components in large or complex interconnected systems.

Related Controls: None.

• SYSTEM COMPONENT INVENTORY | ASSESSED CONFIGURATIONS AND APPROVED DEVIATIONS

Include assessed component configurations and any approved deviations to current deployed configurations in the system component inventory.

Supplemental Guidance: This control enhancement focuses on configuration settings established by organizations for 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.

Related Controls: None.

• SYSTEM COMPONENT INVENTORY | CENTRALIZED REPOSITORY

Provide a centralized repository for the inventory of system components.

Supplemental Guidance: Organizations may choose to implement centralized system component inventories that include components from all organizational systems. Centralized repositories of 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.

Related Controls: None.

 

• SYSTEM COMPONENT INVENTORY | AUTOMATED LOCATION TRACKING

Employ automated mechanisms to support tracking of system components by geographic location.

Supplemental Guidance: The use of automated mechanisms to track the location of 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.

Related Controls: None.

• SYSTEM COMPONENT INVENTORY | ASSIGNMENT OF COMPONENTS TO SYSTEMS
  • Assign [Assignment: organization-defined acquired system components] to a system; and
  • Receive an acknowledgement from [Assignment: organization-defined personnel or roles] of this

Supplemental Guidance: Organizations determine the types of system components that are subject to this control enhancement.

Related Controls: None.

• SYSTEM COMPONENT INVENTORY | DATA ACTION MAPPING

Develop and document a system map of data actions that process personally identifiable information.

Supplemental Guidance: Data actions are system operations that process personally identifiable information. Such processing encompasses the full information life cycle which includes collection, generation, transformation, use, disclosure, retention, disposal. Creating a system map of data actions supports a privacy risk assessment. The development of this map may necessitate coordination between the privacy and security programs regarding the covered data actions, the system components, and the definition of the authorization boundary.

Related Controls: PM-30, CM-4.

References: NIST Special Publications 800-57-1, 800-57-2, 800-57-3, 800-128; NIST Interagency

Report 8062.

 

CM-9     CONFIGURATION MANAGEMENT PLAN

Control: Develop, document, and implement a configuration management plan for the system that:

1. Addresses roles, responsibilities, and configuration management processes and procedures;
2. Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;
3. Defines the configuration items for the system and places the configuration items under configuration management;
4. Is reviewed and approved by [Assignment: organization-defined personnel or roles]; and
5. Protects the configuration management plan from unauthorized disclosure and

Supplemental Guidance: Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual systems. Such plans define processes and procedures for how configuration management is used to support system development life cycle activities. Configuration management plans are typically developed during the development and 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 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 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 systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the system components (i.e., hardware, software, firmware, and documentation) to be configuration- managed. As 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.

Related Controls: CM-2, CM-3, CM-4, CM-5, CM-8, PL-2, SA-10, SI-12.

Control Enhancements:

(1) CONFIGURATION MANAGEMENT PLAN | ASSIGNMENT OF RESPONSIBILITY

Assign responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development.

Supplemental Guidance: In 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 system development and integration processes and configuration management processes to facilitate quality control and more effective oversight.

Related Controls: None.

References: NIST Special Publication 800-128.

 

CM-10 SOFTWARE USAGE RESTRICTIONS

Control:

1. Use software and associated documentation in accordance with contract agreements and copyright laws;
2. Track the use of software and associated documentation protected by quantity licenses to control copying and distribution; and
3. Control and document 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.

Supplemental Guidance: Software license tracking can be accomplished by manual methods or automated methods depending on organizational needs.

Related Controls: AC-17, AU-6, CM-7, CM-8, SC-7.

Control Enhancements:

(1) SOFTWARE USAGE RESTRICTIONS | OPEN SOURCE SOFTWARE

Establish the following restrictions on the use of open source software: [Assignment: organization-defined restrictions].

Supplemental Guidance: Open 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.

Related Controls: SI-7.

References: None.

CM-11 USER-INSTALLED SOFTWARE

Control:

1. Establish [Assignment: organization-defined policies] governing the installation of software by users;
2. Enforce software installation policies through the following methods: [Assignment: organization-defined methods]; and
3. Monitor policy compliance at [Assignment: organization-defined frequency].

Supplemental Guidance: If provided the necessary privileges, users have the ability to install software in organizational 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, automated methods, or both.

Related Controls: AC-3, AU-6, CM-2, CM-3, CM-5, CM-6, CM-7, CM-8, PL-4, SI-7.

Control Enhancements:

• USER-INSTALLED SOFTWARE | ALERTS FOR UNAUTHORIZED INSTALLATIONS

[Withdrawn: Incorporated into CM-8(3)].

• SOFTWARE INSTALLATION WITH PRIVILEGED STATUS

Allow user installation of software only with explicit privileged status.

Supplemental Guidance: Privileged status can be obtained, for example, by serving in the role of system administrator.

Related Controls: AC-5, AC-6.

References: None.

 

CM-12 INFORMATION LOCATION

Control:

1. Identify the location of [Assignment: organization-defined information] and the specific system components on which the information resides;
2. Identify and document the users who have access to the system and system components where the information resides; and
3. Document changes to the location (i.e., system or system components) where the information resides.

Supplemental Guidance: This control addresses the need to understand where information is being processed and stored and is typically applied with respect to Controlled Unclassified Information (CUI). The National Archives and Records Administration defines the types of information that are categorized as CUI. Information location includes identifying where specific information types and associated information reside in the system components that compose organizational systems; and how information is being processed so that information flow can be understood and adequate protection and policy management provided for such information and system components.

Related Controls: AC-3, AC-4, AC-6, AC-23, CM-8, PM-29, SC-4, SC-16, SC-28, SI-4, SI-7.

 

Control Enhancements:

(1) INFORMATION LOCATION | AUTOMATED TOOLS TO SUPPORT INFORMATION LOCATION

Use automated tools to identify [Assignment: organization-defined information by information type] on [Assignment: organization-defined system components] to ensure adequate security and privacy controls are in place to protect organizational information and individual privacy.

Supplemental Guidance: This control enhancement gives organizations the capability to check systems and selected system components for types of information to confirm such information resides on the component and to ensure that the required protection measures are in place for that component.

Related Controls: None.

References: FIPS Publication 199; NIST Special Publication 800-60-1, 800-60-2.

 

3.1     CONTINGENCY PLANNING

 

Quick link to Contingency Planning summary table

 

CP-1      CONTINGENCY PLANNING POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A contingency planning policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the contingency planning policy and the associated contingency planning controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the contingency planning policy and procedures;
3. Review and update the current contingency planning:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the contingency planning procedures implement the contingency planning policy and controls; and
5. Develop, document, and implement remediation actions for violations of the contingency planning

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the CP family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-34, 800-39, 800-100.

 

CP-2      CONTINGENCY PLAN

Control:

1. Develop a contingency plan for the system that:
   1. Identifies essential missions and business functions and associated contingency requirements;

 

2. Provides recovery objectives, restoration priorities, and metrics;
3. Addresses contingency roles, responsibilities, assigned individuals with contact information;
4. Addresses maintaining essential missions and business functions despite a system disruption, compromise, or failure;
5. Addresses eventual, full system restoration without deterioration of the security and privacy controls originally planned and implemented; and
6. Is reviewed and approved by [Assignment: organization-defined personnel or roles];

1. Distributes copies of the contingency plan to [Assignment: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements];
2. Coordinates contingency planning activities with incident handling activities;
3. Reviews the contingency plan for the system [Assignment: organization-defined frequency];
4. Updates the contingency plan to address changes to the organization, system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;
5. Communicates contingency plan changes to [Assignment: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements]; and
6. Protects the contingency plan from unauthorized disclosure and

Supplemental Guidance: Contingency planning for systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses system restoration and implementation of alternative mission or business processes when systems are compromised or breached. The effectiveness of contingency planning is maximized by considering such planning throughout the system development life cycle.

Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving system resiliency. Contingency plans reflect the degree of restoration required for organizational systems since not all systems need to fully recover to achieve the level of continuity of operations desired. System recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to availability, contingency plans address other security-related events resulting in a reduction in mission or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of systems. Actions addressed in contingency plans include, for example, orderly and graceful degradation, system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By coordinating contingency planning with incident handling activities, organizations can ensure that the necessary planning activities are in place and activated in the event of a security incident.

Related Controls: CP-3, CP-4, CP-6, CP-7, CP-8, CP-9, CP-10, CP-11, CP-13, IR-4, IR-6, IR-8, IR-

9, MA-6, MP-2, MP-4, MP-5, PL-2, PM-8, PM-11, SA-15, SA-20, SC-7, SC-23, SI-12.

Control Enhancements:

• CONTINGENCY PLAN | COORDINATE WITH RELATED PLANS

Coordinate contingency plan development with organizational elements responsible for related plans.

Supplemental Guidance: Plans related to contingency plans for organizational 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.

Related Controls: None.

 

• CONTINGENCY PLAN | CAPACITY PLANNING

Conduct capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.

Supplemental Guidance: Capacity planning is needed because different types of threats can result in a reduction of the available processing, telecommunications, and support services intended to support the organizational missions and business functions. Organizations need to anticipate degraded operations during contingency operations and factor such degradation into capacity planning. With respect to capacity planning, environmental support refers to any environmental support factor for which the organization determines that it needs to provide support in a contingency situation, even if in a degraded state. As always, such determinations are based on an assessment of risk, system categorization (impact level), and organizational risk tolerance.

Related Controls: PE-11, PE-12, PE-13, PE-14, PE-18, SC-5.

• CONTINGENCY PLAN | RESUME ESSENTIAL MISSIONS AND BUSINESS FUNCTIONS

Plan for the resumption of essential missions and business functions within [Assignment: organization-defined time-period] of contingency plan activation.

Supplemental Guidance: Organizations 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 and business functions may be dependent on the severity and extent of the disruptions to the system and its supporting infrastructure.

Related Controls: None.

• CONTINGENCY PLAN | RESUME ALL MISSIONS AND BUSINESS FUNCTIONS

Plan for the resumption of all missions and business functions within [Assignment: organization- defined time-period] of contingency plan activation.

Supplemental Guidance: Organizations 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 missions and business functions may be dependent on the severity and extent of disruptions to the system and its supporting infrastructure.

Related Controls: None.

• CONTINGENCY PLAN | CONTINUE ESSENTIAL MISSIONS AND BUSINESS FUNCTIONS

Plan for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full system restoration at primary processing and/or storage sites.

Supplemental Guidance: Organizations 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.

Related Controls: None.

• CONTINGENCY PLAN | ALTERNATE PROCESSING AND STORAGE SITE

Plan 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 sustain that continuity through system restoration to primary processing and/or storage sites.

Supplemental Guidance: Organizations 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.

Related Controls: None.

 

• CONTINGENCY PLAN | COORDINATE WITH EXTERNAL SERVICE PROVIDERS

Coordinate the contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.

Supplemental Guidance: When the capability of an organization to successfully carry out its core missions and 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.

Related Controls: SA-9.

• CONTINGENCY PLAN | IDENTIFY CRITICAL ASSETS

Identify critical system assets supporting essential missions and business functions.

Supplemental Guidance: Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational criticality analysis or business continuity planning including, for example, as part of business impact analyses. Organizations identify critical system assets so additional safeguards and countermeasures can be employed (beyond those safeguards and countermeasures routinely implemented) to help ensure that organizational missions/business functions can continue to be conducted during contingency operations. The identification of critical information assets also facilitates the prioritization of organizational resources. Critical system assets include both technical and operational aspects. Technical aspects include, for example, information technology services, 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 aid in identifying critical assets.

Related Controls: CM-8, RA-9.

References: NIST Special Publication 800-34; NIST Interagency Report 8179.

 

CP-3      CONTINGENCY TRAINING

Control: Provide contingency training to system users consistent with assigned roles and responsibilities:

1. Within [Assignment: organization-defined time-period] of assuming a contingency role or responsibility;
2. When required by system changes; and
3. [Assignment: organization-defined frequency]

Supplemental Guidance: Contingency 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 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.

Related Controls: AT-2, AT-3, AT-4, CP-2, CP-4, CP-8, IR-2, IR-4, IR-9.

Control Enhancements:

• CONTINGENCY TRAINING | SIMULATED EVENTS

Incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.

Supplemental Guidance: None.

 

Related Controls: None.

• CONTINGENCY TRAINING | AUTOMATED TRAINING ENVIRONMENTS

Employ automated mechanisms to provide a more thorough and realistic contingency training environment.

Supplemental Guidance: None.

Related Controls: None.

References: NIST Special Publication 800-50.

 

CP-4      CONTINGENCY PLAN TESTING

Control:

1. Test the contingency plan for the system [Assignment: organization-defined frequency] using [Assignment: organization-defined tests] to determine the effectiveness of the plan and the organizational readiness to execute the plan;
2. Review the contingency plan test results; and
3. Initiate corrective actions, if

Supplemental Guidance: Methods 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.

Related Controls: AT-3, CP-2, CP-3, CP-8, CP-9, IR-3, IR-4, PL-2, PM-14.

Control Enhancements:

• CONTINGENCY PLAN TESTING | COORDINATE WITH RELATED PLANS

Coordinate contingency plan testing with organizational elements responsible for related plans.

Supplemental Guidance: Plans related to contingency plans for organizational 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.

Related Controls: IR-8, PM-8.

• CONTINGENCY PLAN TESTING | ALTERNATE PROCESSING SITE

Test the contingency plan at the alternate processing site:

• To familiarize contingency personnel with the facility and available resources; and
• To evaluate the capabilities of the alternate processing site to support contingency operations.

Supplemental Guidance: None.

Related Controls: CP-7.

• CONTINGENCY PLAN TESTING | AUTOMATED TESTING

Employ automated mechanisms to more thoroughly and effectively test the contingency plan.

Supplemental Guidance: Automated mechanisms facilitate more thorough and effective testing of contingency plans. This occurs by providing more complete coverage of contingency issues; by selecting more realistic test scenarios and environments; and by effectively stressing the system and supported missions and business operations.

Related Controls: None.

 

• CONTINGENCY PLAN TESTING | FULL RECOVERY AND RECONSTITUTION

Include a full recovery and reconstitution of the system to a known state as part of contingency plan testing.

Supplemental Guidance: None.

Related Controls: CP-10, SC-24.

References: FIPS Publication 199; NIST Special Publications 800-34, 800-84.

 

CP-5      CONTINGENCY PLAN UPDATE

[Withdrawn: Incorporated into CP-2].

 

CP-6      ALTERNATE STORAGE SITE

Control:

1. Establish an alternate storage site including necessary agreements to permit the storage and retrieval of system backup information; and
2. Ensure that the alternate storage site provides security controls equivalent to that of the primary

Supplemental Guidance: Alternate storage sites are sites that are geographically distinct from primary storage sites. An alternate storage site maintains duplicate copies of information and data if 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 and business functions despite disruption, compromise, or failure in organizational systems.

Related Controls: CP-2, CP-7, CP-8, CP-9, CP-10, MP-4, MP-5, PE-3, SC-36, SI-13.

Control Enhancements:

• ALTERNATE STORAGE SITE | SEPARATION FROM PRIMARY SITE

Identify an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.

Supplemental Guidance: Threats that affect alternate storage sites are defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile attacks, and errors of omission or 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 threats such as hostile attacks, the degree of separation between sites is less relevant.

Related Controls: RA-3.

• ALTERNATE STORAGE SITE | RECOVERY TIME AND RECOVERY POINT OBJECTIVES

Configure the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.

Supplemental Guidance: None.

Related Controls: None.

• ALTERNATE STORAGE SITE | ACCESSIBILITY

Identify potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.

Supplemental Guidance: Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include, for example, duplicating backup information at other alternate storage sites if access problems occur at originally designated

 

alternate sites; or planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.

Related Controls: RA-3.

References: NIST Special Publication 800-34.

 

CP-7      ALTERNATE PROCESSING SITE

Control:

1. Establish an alternate processing site including necessary agreements to permit the transfer and resumption of [Assignment: organization-defined system operations] for essential missions and business functions within [Assignment: organization-defined time-period consistent with recovery time and recovery point objectives] when the primary processing capabilities are unavailable;
2. Make available at the alternate processing site, the equipment and supplies required to transfer and resume operations or put contracts in place to support delivery to the site within the organization-defined time-period for transfer and resumption; and
3. Provide information security and privacy safeguards at the alternate processing site that are equivalent to those at the primary

Supplemental Guidance: Alternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability if the primary processing site is not available. Geographically distributed architectures may also be considered as alternate processing sites. Safeguards that are covered by alternate processing site agreements include, for example, environmental conditions at alternate sites; access rules; physical and environmental protection requirements; and the coordination for the transfer and assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions and business functions despite disruption, compromise, or failure in organizational systems.

Related Controls: CP-2, CP-6, CP-8, CP-9, CP-10, MA-6, PE-3, PE-11, PE-12, PE-17, SC-36, SI- 13.

Control Enhancements:

• ALTERNATE PROCESSING SITE | SEPARATION FROM PRIMARY SITE

Identify an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats.

Supplemental Guidance: Threats that affect alternate processing sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant.

Related Controls: RA-3.

• ALTERNATE PROCESSING SITE | ACCESSIBILITY

Identify potential accessibility problems to the alternate processing site in the event of an area- wide disruption or disaster and outlines explicit mitigation actions.

Supplemental Guidance: Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk.

Related Controls: RA-3.

• ALTERNATE PROCESSING SITE | PRIORITY OF SERVICE

Develop alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives).

 

Supplemental Guidance: Priority-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.

Related Controls: None.

• ALTERNATE PROCESSING SITE | PREPARATION FOR USE

Prepare the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.

Supplemental Guidance: Site preparation includes, for example, establishing configuration settings for 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.

Related Controls: CM-2, CM-6, CP-4.

• ALTERNATE PROCESSING SITE | EQUIVALENT INFORMATION SECURITY SAFEGUARDS

[Withdrawn: Incorporated into CP-7].

• ALTERNATE PROCESSING SITE | INABILITY TO RETURN TO PRIMARY SITE

Plan and prepare for circumstances that preclude returning to the primary processing site.

Supplemental Guidance: None.

Related Controls: None.

References: NIST Special Publication 800-34.

 

CP-8      TELECOMMUNICATIONS SERVICES

Control: Establish alternate telecommunications services including necessary agreements to permit the resumption of [Assignment: organization-defined system operations] for essential missions and business functions within [Assignment: organization-defined time-period] when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.

Supplemental Guidance: This 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 and 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 alternate telecommunications agreements.

Related Controls: CP-2, CP-6, CP-7, CP-11, SC-7.

Control Enhancements:

• TELECOMMUNICATIONS SERVICES | PRIORITY OF SERVICE PROVISIONS
  • Develop primary and alternate telecommunications service agreements that contain priority- of-service provisions in accordance with organizational availability requirements (including recovery time objectives); and
  • Request Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common

Supplemental Guidance: Organizations consider the potential mission/business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions.

Related Controls: None.

 

• TELECOMMUNICATIONS SERVICES | SINGLE POINTS OF FAILURE

Obtain alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.

Supplemental Guidance: None.

Related Controls: None.

• TELECOMMUNICATIONS SERVICES | SEPARATION OF PRIMARY AND ALTERNATE PROVIDERS

Obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.

Supplemental Guidance: Threats 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.

Related Controls: None.

• TELECOMMUNICATIONS SERVICES | PROVIDER CONTINGENCY PLAN
  • Require primary and alternate telecommunications service providers to have contingency plans;
  • Review provider contingency plans to ensure that the plans meet organizational contingency requirements; and
  • Obtain evidence of contingency testing and training by providers [Assignment: organization- defined frequency].

Supplemental Guidance: Reviews 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.

Related Controls: CP-3, CP-4.

• TELECOMMUNICATIONS SERVICES | ALTERNATE TELECOMMUNICATION SERVICE TESTING

Test alternate telecommunication services [Assignment: organization-defined frequency].

Supplemental Guidance: CP-3.

Related Controls: None.

References: NIST Special Publication 800-34.

 

CP-9      SYSTEM BACKUP

Control:

1. Conduct backups of user-level information contained in the system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
2. Conduct backups of system-level information contained in the system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
3. Conduct backups of system documentation including security-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and
4. Protect the confidentiality, integrity, and availability of backup information at storage locations.

 

Supplemental Guidance: System-level information includes, for example, system-state information, operating system software, application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed to protect the integrity of system backups include, for example, digital signatures and cryptographic hashes. Protection of backup information while in transit is beyond the scope of this control. System backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.

Related Controls: CP-2, CP-6, CP-10, MP-4, MP-5, SC-13, SI-4, SI-13.

Control Enhancements:

• SYSTEM BACKUP | TESTING FOR RELIABILITY AND INTEGRITY

Test backup information [Assignment: organization-defined frequency] to verify media reliability and information integrity.

Supplemental Guidance: None.

Related Controls: CP-4.

• SYSTEM BACKUP | TEST RESTORATION USING SAMPLING

Use a sample of backup information in the restoration of selected system functions as part of contingency plan testing.

Supplemental Guidance:

Related Controls: CP-4.

• SYSTEM BACKUP | SEPARATE STORAGE FOR CRITICAL INFORMATION

Store backup copies of [Assignment: organization-defined critical 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.

Supplemental Guidance: Critical 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.

Related Controls: CM-2, CM-6, CM-8.

• SYSTEM BACKUP | PROTECTION FROM UNAUTHORIZED MODIFICATION

[Withdrawn: Incorporated into CP-9].

• SYSTEM BACKUP | TRANSFER TO ALTERNATE STORAGE SITE

Transfer system backup information to the alternate storage site [Assignment: organization- defined time-period and transfer rate consistent with the recovery time and recovery point objectives].

Supplemental Guidance: System backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media.

Related Controls: CP-7, MP-3, MP-4, MP-5.

• SYSTEM BACKUP | REDUNDANT SECONDARY SYSTEM

Conduct 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.

Supplemental Guidance:

Related Controls: CP-7.

• SYSTEM BACKUP | DUAL AUTHORIZATION

Enforce dual authorization for the deletion or destruction of [Assignment: organization-defined backup information].

Supplemental Guidance: Dual 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.

Related Controls: AC-3, AC-5, MP-2.

• SYSTEM BACKUP | CRYPTOGRAPHIC PROTECTION

Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of [Assignment: organization-defined backup information].

Supplemental Guidance: The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of backup information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to system backup information in storage at primary and alternate locations. Organizations implementing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.

Related Controls: SC-12, SC-13, SC-28.

References: FIPS Publications 140-2, 186-4; NIST Special Publications 800-34, 800-130, 800-152.

 

CP-10 SYSTEM RECOVERY AND RECONSTITUTION

Control: Provide for the recovery and reconstitution of the system to a known state after a disruption, compromise, or failure within [Assignment: organization-defined time-period consistent with recovery time and recovery point objectives].

Supplemental Guidance: Recovery is executing contingency plan activities to restore organizational missions and business functions. Reconstitution takes place following recovery and includes activities for returning 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 system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored system capabilities, reestablishment of continuous monitoring activities, system reauthorizations (if required), and activities to prepare the systems against future disruptions, compromises, or failures. Recovery and reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.

Related Controls: CP-2, CP-4, CP-6, CP-7, CP-9, IR-4, SC-24, SI-13.

Control Enhancements:

• SYSTEM RECOVERY AND RECONSTITUTION | CONTINGENCY PLAN TESTING

[Withdrawn: Incorporated into CP-4].

• SYSTEM RECOVERY AND RECONSTITUTION | TRANSACTION RECOVERY

Implement transaction recovery for systems that are transaction-based.

Supplemental Guidance:  Transaction-based systems include, for example, database management systems and transaction processing systems. Mechanisms supporting transaction recovery include, for example, transaction rollback and transaction journaling.

Related Controls: None.

• SYSTEM RECOVERY AND RECONSTITUTION | COMPENSATING SECURITY CONTROLS

[Withdrawn: Addressed through tailoring procedures].

• SYSTEM RECOVERY AND RECONSTITUTION | RESTORE WITHIN TIME-PERIOD

Provide the capability to restore system components within [Assignment: organization-defined restoration time-periods] from configuration-controlled and integrity-protected information representing a known, operational state for the components.

Supplemental Guidance: Restoration of system components includes, for example, reimaging which restores components to known, operational states.

Related Controls: CM-2, CM-6.

 

• SYSTEM RECOVERY AND RECONSTITUTION | FAILOVER CAPABILITY

[Withdrawn: Incorporated into SI-13].

• SYSTEM RECOVERY AND RECONSTITUTION | COMPONENT PROTECTION

Protect system components used for backup and restoration.

Supplemental Guidance: Protection of system backup and restoration components (hardware, firmware, and software) includes both physical and technical safeguards. Backup and restoration software includes, for example, router tables, compilers, and other security- relevant system software.

Related Controls: AC-3, AC-6, MP-2, MP-4, PE-3, PE-6.

References: NIST Special Publication 800-34.

 

CP-11 ALTERNATE COMMUNICATIONS PROTOCOLS

Control: Provide the capability to employ [Assignment: organization-defined alternative communications protocols] in support of maintaining continuity of operations.

Supplemental Guidance: Contingency plans and the training/testing associated with those plans, incorporate an alternate communications protocol capability as part of establishing resilience in organizational systems. Alternate communications protocols include, for example, switching from TCP/IP Version 4 to TCP/IP Version 6. Switching communications protocols may affect software applications and operational aspects of systems. Organizations assess the potential side effects of introducing such alternate communications protocols prior to implementation.

Related Controls: CP-2, CP-8, CP-13.

Control Enhancements: None.

References: None.

 

CP-12 SAFE MODE

Control: When [Assignment: organization-defined conditions] are detected, enter a safe mode of operation with [Assignment: organization-defined restrictions of safe mode of operation].

Supplemental Guidance: For systems supporting critical missions and 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 can 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 activities or operations systems can execute when those conditions are encountered.

Restriction includes, for example, allowing only certain functions that can be carried out under limited power or with reduced communications bandwidth.

Related Controls: CM-2, SC-24, SI-13, SI-17.

Control Enhancements: None.

References: None.

 

CP-13 ALTERNATIVE SECURITY MECHANISMS

Control: Employ [Assignment: organization-defined alternative or supplemental security mechanisms] for satisfying [Assignment: organization-defined security functions] when the primary means of implementing the security function is unavailable or compromised.

Supplemental Guidance: This control supports system resiliency, contingency planning, and continuity of operations. To ensure mission and business continuity, organizations can implement alternative or supplemental security mechanisms. These mechanisms may be less effective than the primary mechanisms. However, having the capability to readily employ these alternative or

 

supplemental mechanisms, enhances mission and business continuity that might otherwise be adversely impacted if 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 is typically applied only to critical security capabilities provided by systems, system components, or system services. For example, an organization may issue to senior executives and system administrators one-time pads if multifactor tokens, the standard means for secure remote authentication, is compromised.

Related Controls: CP-2 CP-11, SI-13.

Control Enhancements: None.

References: None.

 

3.2     IDENTIFICATION AND AUTHENTICATION

 

Quick link to Identification and Authentication summary table

 

IA-1       IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. An identification and authentication policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the identification and authentication policy and procedures;
3. Review and update the current identification and authentication:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the identification and authentication procedures implement the identification and authentication policy and controls; and
5. Develop, document, and implement remediation actions for violations of the identification and authentication

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the IA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: AC-1, PM-9, PS-8, SI-12.

Control Enhancements: None.

References: FIPS Publication 201; NIST Special Publications 800-12, 800-30, 800-39, 800-63,

800-73, 800-76, 800-78, 800-100; NIST Interagency Report 7874.

 

IA-2       IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

Control: Uniquely identify and authenticate organizational users or processes acting on behalf of organizational users.

 

Supplemental Guidance: Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive

12. Organizational users include employees or individuals that organizations consider having the equivalent status of employees including, for example, contractors and guest researchers. This control applies to all accesses other than accesses that are explicitly identified in AC-14 and that occur through the authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts or for detailed accountability of individual activity. Organizations employ passwords, physical authenticators, or biometrics to authenticate user identities, or in the case of multifactor authentication, some combination thereof. Access to organizational systems is defined as either local access or network access. Local access is any access to organizational systems by users or processes acting on behalf of users, where such access is obtained through direct connections without the use of networks. Network access is access to organizational 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. Internal networks include local area networks and wide area networks. The use of encrypted virtual private networks for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks with respect to protecting the confidentiality and integrity of information traversing the network. Identification and authentication requirements for non-organizational users are described in IA-8.

Related Controls: AC-2, AC-3, AC-4, AC-14, AC-17, AC-18, AU-1, AU-6, IA-4, IA-5, IA-8, MA- 4, MA-5, PE-2, PL-4, SA-4.

Control Enhancements:

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | MULTIFACTOR AUTHENTICATION TO PRIVILEGED ACCOUNTS

Implement multifactor authentication for access to privileged accounts.

Supplemental Guidance: Multifactor authentication requires the use of two or more different factors to achieve authentication. Factors are defined as follows: something you know, for example, a password or personal identification number (PIN); something you have, for example, a physical authenticator or cryptographic identification device; or something you are, for example, a biometric. Multifactor solutions that feature physical authenticators include, for example, hardware authenticators providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card or the DoD common access card. In addition to authenticating users at the system level (i.e., at logon), organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access (i.e., local, network, or remote) privileged accounts are always authenticated using multifactor options appropriate for the level of risk. Organizations can add additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.

Related Controls: AC-5, AC-6.

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | MULTIFACTOR AUTHENTICATION TO NON-PRIVILEGED ACCOUNTS

Implement multifactor authentication for access to non-privileged accounts.

Supplemental Guidance: Multifactor authentication requires the use of two or more different factors to achieve authentication. Factors are defined as follows: something you know, for example, a personal identification number (PIN); something you have, for example, a physical authenticator or cryptographic private key stored in hardware or software; or something you are, for example, a biometric. Multifactor solutions that feature physical authenticators include, for example, hardware authenticators providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card or the DoD common access card. In addition to authenticating users at the system level, organizations may also employ authentication mechanisms at the application level, at their

 

discretion, to provide increased information security. Organizations can also provide additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.

Related Controls: AC-5.

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | LOCAL ACCESS TO PRIVILEGED ACCOUNTS

[Withdrawn: Incorporated into IA-2(1)(2)].

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | LOCAL ACCESS TO NON-PRIVILEGED ACCOUNTS

[Withdrawn: Incorporated into IA-2(1)(2)].

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | INDIVIDUAL AUTHENTICATION WITH GROUP AUTHENTICATION

When shared accounts or authenticators are employed, require users to be individually authenticated before granting access to the shared accounts or resources.

Supplemental Guidance: Individual authentication prior to the shared group authentication helps organizations to mitigate the risk of using group accounts or authenticators.

Related Controls: None.

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | NETWORK ACCESS TO PRIVILEGED ACCOUNTS — SEPARATE DEVICE

[Withdrawn: Incorporated into IA-2(1)(2)].

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | NETWORK ACCESS TO NON-

PRIVILEGED ACCOUNTS — SEPARATE DEVICE

[Withdrawn: Incorporated into IA-2(1)(2)].

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | ACCESS TO ACCOUNTS – REPLAY RESISTANT

Implement replay-resistant authentication mechanisms for access to [Selection (one or more): privileged accounts; non-privileged accounts].

Supplemental Guidance: Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay- resistant techniques include, for example, protocols that use nonces or challenges such as time synchronous or challenge-response one-time authenticators.

Related Controls: None.

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | NETWORK ACCESS TO NON-

PRIVILEGED ACCOUNTS — REPLAY RESISTANT

[Withdrawn: Incorporated into IA-2(8)].

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | SINGLE SIGN-ON

Provide a single sign-on capability for [Assignment: organization-defined system accounts and services].

Supplemental Guidance: Single sign-on enables users to log in once and gain access to multiple system resources. Organizations consider the operational efficiencies provided by single sign- on capabilities with the risk introduced by allowing access to multiple systems via a single authentication event. Single sign-on can present opportunities to improve system security, for example by providing the ability to add multifactor authentication for applications that may not be able to natively support this function. This situation may occur in legacy applications or systems.

Related Controls: None.

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | REMOTE ACCESS — SEPARATE DEVICE

[Withdrawn: Incorporated into IA-2(1)(2)].

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | ACCEPTANCE OF PIV CREDENTIALS

Accept and electronically verify Personal Identity Verification credentials.

 

Supplemental Guidance: This control enhancement applies to organizations implementing logical access control and physical access control systems. Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. The adequacy and reliability of PIV card issuers are addressed and authorized using NIST Special Publication 800-79. Acceptance of PIV credentials includes derived PIV credentials, the use of which is addressed in NIST Special Publication 800-166.

Related Controls: None.

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | OUT-OF-BAND AUTHENTICATION

[Withdrawn: Incorporated into IA-2(1)(2)].

References: FIPS Publications 140-2, 201, 202; NIST Special Publications 800-63, 800-73, 800-

76, 800-78, 800-79, 800-156, 800-166; NIST Interagency Reports 7539, 7676, 7817, 7849, 7870,

7874, 7966.

 

IA-3       DEVICE IDENTIFICATION AND AUTHENTICATION

Control: Uniquely identify and authenticate [Assignment: organization-defined specific and/or types of devices] before establishing a [Selection (one or more): local; remote; network] connection.

Supplemental Guidance: Devices requiring unique device-to-device identification and authentication are defined by type, by device, or by a combination of type and device. Organization-defined device types may include devices that are not owned by the organization. Systems use 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 and authenticate devices on local and wide area networks. Organizations determine the required strength of authentication mechanisms based on the security categories of systems and mission/business requirements.

Because of the challenges of implementing this control on large scale, organizations can restrict the application of the control to a limited number (and type) of devices based on organizational need.

Related Controls: AC-17, AC-18, AC-19, AU-6, CA-3, CA-9, IA-4, IA-5, IA-9, IA-11, SI-4.

Control Enhancements:

• DEVICE IDENTIFICATION AND AUTHENTICATION | CRYPTOGRAPHIC BIDIRECTIONAL AUTHENTICATION

Authenticate [Assignment: organization-defined specific devices and/or types of devices] before establishing [Selection (one or more): local; remote; network] connection using bidirectional authentication that is cryptographically based.

Supplemental Guidance: A 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. A remote connection is any connection with a device communicating through an external network. Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk.

Related Controls: SC-8, SC-12, SC-13.

• DEVICE IDENTIFICATION AND AUTHENTICATION | CRYPTOGRAPHIC BIDIRECTIONAL NETWORK AUTHENTICATION

[Withdrawn: Incorporated into IA-3(1)].

• DEVICE IDENTIFICATION AND AUTHENTICATION | DYNAMIC ADDRESS ALLOCATION
  • Where addresses are allocated dynamically, standardize dynamic address allocation lease information and the lease duration assigned to devices in accordance with [Assignment: organization-defined lease information and lease duration]; and
  • Audit lease information when assigned to a

 

Supplemental Guidance: DHCP and DHCPv6 are typical protocols that enable clients to dynamically obtain Internet Protocol address leases from DHCP servers.

Related Controls: None.

• DEVICE IDENTIFICATION AND AUTHENTICATION | DEVICE ATTESTATION

Handle device identification and authentication based on attestation by [Assignment: organization- defined configuration management process].

Supplemental Guidance: Device 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 patches and updates are done securely and at the same time do not disrupt the identification and authentication to other devices.

Related Controls: CM-2, CM-3, CM-6.

References: None.

 

IA-4       IDENTIFIER MANAGEMENT

Control: Manage system identifiers by:

1. Receiving authorization from [Assignment: organization-defined personnel or roles] to assign an individual, group, role, or device identifier;
2. Selecting an identifier that identifies an individual, group, role, or device;
3. Assigning the identifier to the intended individual, group, role, or device; and
4. Preventing reuse of identifiers for [Assignment: organization-defined time-period].

Supplemental Guidance: Common device identifiers include, for example, media access control (MAC), Internet Protocol addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared system accounts. Typically, individual identifiers are the user names of the 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 system accounts. Preventing the reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.

Related Controls: IA-2, IA-3, IA-5, IA-8, IA-9, MA-4, PE-2, PE-3, PE-4, PL-4, PM-12, PS-3, PS-4, PS-5, SC-37.

Control Enhancements:

• IDENTIFIER MANAGEMENT | PROHIBIT ACCOUNT IDENTIFIERS AS PUBLIC IDENTIFIERS

Prohibit the use of system account identifiers that are the same as public identifiers for individual electronic mail accounts.

Supplemental Guidance: Prohibiting the use of 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 systems. The use of this control alone only complicates guessing of identifiers and must be combined with appropriate protections for authenticators and attributes to protect the account as a whole.

Related Controls: AT-2.

• IDENTIFIER MANAGEMENT | SUPERVISOR AUTHORIZATION

[Withdrawn: Incorporated into IA-12(1)].

• IDENTIFIER MANAGEMENT | MULTIPLE FORMS OF CERTIFICATION

[Withdrawn: Incorporated into IA-12(2)].

 

• IDENTIFIER MANAGEMENT | IDENTIFY USER STATUS

Manage individual identifiers by uniquely identifying each individual as [Assignment: organization- defined characteristic identifying individual status].

Supplemental Guidance: Characteristics 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.

Related Controls: None.

• IDENTIFIER MANAGEMENT | DYNAMIC MANAGEMENT

Manage individual identifiers dynamically.

Supplemental Guidance: In contrast to conventional approaches to identification which presume static accounts for preregistered users, many distributed systems establish identifiers at run time for entities that were previously unknown. In these situations, organizations anticipate and provision for the dynamic establishment of identifiers. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.

Related Controls: AC-16.

• IDENTIFIER MANAGEMENT | CROSS-ORGANIZATION MANAGEMENT

Coordinate with [Assignment: organization-defined external organizations] for cross-organization management of identifiers.

Supplemental Guidance: Cross-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.

Related Controls: AU-16, IA-2, IA-5.

• IDENTIFIER MANAGEMENT | IN-PERSON REGISTRATION

[Withdrawn: Incorporated into IA-12(4)].

• IDENTIFIER MANAGEMENT | PAIRWISE PSEUDONYMOUS IDENTIFIERS

Generate pairwise pseudonymous identifiers.

Supplemental Guidance: Generating distinct pairwise pseudonymous identifiers, with no identifying information about a subscriber, discourages subscriber activity tracking and profiling beyond the operational requirements established by an organization. The pairwise pseudonymous identifiers are unique to each relying party, except in situations where relying parties show a demonstrable relationship justifying an operational need for correlation, or all parties consent to being correlated in such a manner.

Related Controls: IA-5.

References: FIPS Publication 201; NIST Special Publications 800-63, 800-73, 800-76, 800-78.

 

IA-5       AUTHENTICATOR MANAGEMENT

Control: Manage system authenticators by:

1. Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator;
2. Establishing initial authenticator content for any authenticators issued by the organization;
3. Ensuring that authenticators have sufficient strength of mechanism for their intended use;
4. Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;
5. Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;

 

1. Changing/refreshing authenticators [Assignment: organization-defined time-period by authenticator type];
2. Protecting authenticator content from unauthorized disclosure and modification;
3. Requiring individuals to take, and having devices implement, specific security controls to protect authenticators; and
4. Changing authenticators for group/role accounts when membership to those accounts

Supplemental Guidance: Examples of individual authenticators include passwords, cryptographic devices, one-time password devices, and key cards. The initial authenticator content is the actual content of the authenticator, for example, the initial password. In contrast, the requirements about authenticator content include, for example, the minimum password length. Developers may ship 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 in organizational systems including, for example, passwords stored in hashed or encrypted formats or files containing encrypted or hashed passwords accessible with administrator privileges. Systems support authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Actions that can be taken to safeguard individual authenticators include, for example, maintaining possession of authenticators, not loaning or sharing 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.

Related Controls: AC-3, AC-6, CM-6, IA-2, IA-4, IA-7, IA-8, IA-9, MA-4, PE-2, PL-4.

Control Enhancements:

• AUTHENTICATOR MANAGEMENT | PASSWORD-BASED AUTHENTICATION

For password-based authentication:

• Maintain a list of commonly-used, expected, or compromised passwords and update the list [Assignment: organization-defined frequency] and when organizational passwords are suspected to have been compromised directly or indirectly;
• Verify, when users create or update passwords, that the passwords are not found on the organization-defined list of commonly-used, expected, or compromised passwords;
• Transmit only cryptographically-protected passwords;
• Store passwords using an approved hash algorithm and salt, preferably using a keyed hash;
• Require immediate selection of a new password upon account recovery;
• Allow user selection of long passwords and passphrases, including spaces and all printable characters; and
• Employ automated tools to assist the user in selecting strong password

Supplemental Guidance: This control enhancement applies to passwords regardless of whether they are used in single-factor or multi-factor authentication. Long passwords or passphrases are preferable over shorter passwords. Enforced composition rules provide marginal security benefit while decreasing usability. Account recovery can occur, for example, in situations when a password is forgotten. Cryptographically-protected passwords include, for example, salted one-way cryptographic hashes of passwords. The list of commonly-used, expected, or compromised passwords may include, for example, passwords obtained from previous breach corpuses, dictionary words, and repetitive or sequential characters. Examples include aaaaaaa, 1234abcd, and qwertyuiop. The list can also include context specific words, for example, the name of the service, username, and derivatives thereof.

Related Controls: IA-6.

 

• AUTHENTICATOR MANAGEMENT | PUBLIC KEY-BASED AUTHENTICATION

For public key-based authentication:

• Enforce authorized access to the corresponding private key; and
• Map the authenticated identity to the account of the individual or group; and When public key infrastructure (PKI) is used:
• Validate certificates by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information; and
• Implement a local cache of revocation data to support path discovery and

Supplemental Guidance: Public key cryptography is a valid authentication mechanism for individuals and machines/devices. When PKI is leveraged, status information for certification paths includes, for example, certificate revocation lists or certificate status protocol responses. For PIV cards, the validation of certificates involves the construction and verification of a certification path to the Common Policy Root trust anchor which includes certificate policy processing. Implementing a local cache of revocation data to support path discovery and validation supports system availability in situations where organizations are unable to access revocation information via the network

Related Controls: IA-3, SC-17.

• AUTHENTICATOR MANAGEMENT | IN-PERSON OR TRUSTED EXTERNAL PARTY REGISTRATION

[Withdrawn: Incorporated into IA-12(4)].

• AUTHENTICATOR MANAGEMENT | AUTOMATED SUPPORT FOR PASSWORD STRENGTH DETERMINATION

[Withdrawn: Incorporated into IA-5(1)].

• AUTHENTICATOR MANAGEMENT | CHANGE AUTHENTICATORS PRIOR TO DELIVERY

Require developers and installers of system components to provide unique authenticators or change default authenticators prior to delivery and installation.

Supplemental Guidance: This control enhancement extends the requirement for organizations to change default authenticators upon 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-shelf information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring systems or system components.

Related Controls: None.

• AUTHENTICATOR MANAGEMENT | PROTECTION OF AUTHENTICATORS

Protect authenticators commensurate with the security category of the information to which use of the authenticator permits access.

Supplemental Guidance: For 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. Security categories of information are determined as part of the security categorization process.

Related Controls: RA-2.

• AUTHENTICATOR MANAGEMENT | NO EMBEDDED UNENCRYPTED STATIC AUTHENTICATORS

Ensure that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.

Supplemental Guidance: Organizations 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.

Related Controls: None.

• AUTHENTICATOR MANAGEMENT | MULTIPLE SYSTEM ACCOUNTS

Implement [Assignment: organization-defined security safeguards] to manage the risk of compromise due to individuals having accounts on multiple systems.

 

Supplemental Guidance: When individuals have accounts on multiple systems, there is the risk that a compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Possible alternatives include: having different authenticators on all systems; employing some form of single sign-on mechanism; or using some form of one- time passwords on all systems.

Related Controls: None.

• AUTHENTICATOR MANAGEMENT | FEDERATED CREDENTIAL MANAGEMENT

Use [Assignment: organization-defined external organizations] to federate authenticators.

Supplemental Guidance: Federation provides the capability for organizations to appropriately authenticate individuals and devices when conducting cross-organization activities involving the processing, storage, or transmission of information.

Related Controls: AU-7, AU-16.

• AUTHENTICATOR MANAGEMENT | DYNAMIC CREDENTIAL BINDING

Bind identities and authenticators dynamically.

Supplemental Guidance: Authentication 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 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 system. New authentication techniques allow the binding between the identity and the authenticator to be implemented outside a system. For example, with smartcard credentials, the identity and the authenticator are bound together on the smartcard. Using these credentials, 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. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.

Related Controls: AU-16, IA-5.

• AUTHENTICATOR MANAGEMENT | HARDWARE TOKEN-BASED AUTHENTICATION

[Withdrawn: Incorporated into IA-2(1)(2)].

• AUTHENTICATOR MANAGEMENT | BIOMETRIC AUTHENTICATION PERFORMANCE

For biometric-based authentication, employ mechanisms that satisfy [Assignment: organization- defined biometric quality requirements].

Supplemental Guidance:  Unlike 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. The matching performance is the rate at which a biometric algorithm correctly results in a match for a genuine user and rejects other users. Biometric performance requirements include, for example, the match rate as this reflects the accuracy of the biometric matching algorithm being used by a system.

Related Controls: AC-7.

• AUTHENTICATOR MANAGEMENT | EXPIRATION OF CACHED AUTHENTICATORS

Prohibit the use of cached authenticators after [Assignment: organization-defined time-period].

Supplemental Guidance: None.

Related Controls: None.

• AUTHENTICATOR MANAGEMENT | MANAGING CONTENT OF PKI TRUST STORES

For PKI-based authentication, employ a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including networks, operating systems, browsers, and applications.

Supplemental Guidance: None.

 

Related Controls: None.

• AUTHENTICATOR MANAGEMENT | GSA-APPROVED PRODUCTS AND SERVICES

Use only General Services Administration-approved and validated products and services.

Supplemental Guidance: General Services Administration (GSA)-approved products and services are the products and services that have been approved through the GSA conformance program, where applicable, and posted to the GSA Approved Products List.

Related Controls: None.

• AUTHENTICATOR MANAGEMENT | IN-PERSON OR TRUSTED EXTERNAL PARTY AUTHENTICATOR ISSUANCE

Require that the issuance of [Assignment: organization-defined types of and/or specific authenticators] be conducted [Selection: in person; by a trusted external party] before [Assignment: organization-defined registration authority] with authorization by [Assignment: organization-defined personnel or roles].

Supplemental Guidance: None.

Related Controls: IA-12.

• AUTHENTICATOR MANAGEMENT | PRESENTATION ATTACK DETECTION FOR BIOMETRIC AUTHENTICATORS

Employ presentation attack detection mechanisms for biometric-based authentication.

Supplemental Guidance: Biometric characteristics do not constitute secrets. Such characteristics can be obtained by online web accesses; taking a picture of someone with a camera phone to obtain facial images with or without their knowledge; lifting from objects that someone has touched, for example, a latent fingerprint; or capturing a high-resolution image, for example, an iris pattern. Presentation attack detection technologies including, for example, liveness detection, can mitigate the risk of these types of attacks by making it more difficult to produce artifacts intended to defeat the biometric sensor.

Related Controls: AC-7.

References: FIPS Publications 140-2, 180-4, 201, 202; NIST Special Publications 800-73, 800-63,

800-76, 800-78; NIST Interagency Reports 7539, 7817, 7849, 7870, 8040.

 

IA-6       AUTHENTICATOR FEEDBACK

Control: Obscure feedback of authentication information during the authentication process to protect the information from possible exploitation and use by unauthorized individuals.

Supplemental Guidance: The feedback from systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with small displays, this threat may be less significant, and is balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring authenticator feedback is selected accordingly. Obscuring authenticator feedback includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.

Related Controls: AC-3. Control Enhancements: None. References: None.

IA-7       CRYPTOGRAPHIC MODULE AUTHENTICATION

Control: Implement mechanisms for authentication to a cryptographic module that meet the requirements of applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines for such authentication.

 

Supplemental Guidance: Authentication 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.

Related Controls: AC-3, IA-5, SA-4, SC-12, SC-13.

Control Enhancements: None.

References: FIPS Publication 140-2.

 

IA-8       IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

Control: Uniquely identify and authenticate non-organizational users or processes acting on behalf of non-organizational users.

Supplemental Guidance: Non-organizational users include 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. Identification and authentication of non-organizational users accessing federal systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations consider many factors including scalability, practicality, security, and privacy in balancing the need to ensure ease of use for access to federal information and systems with the need to protect and adequately mitigate risk.

Related Controls: AC-2, AC-6, AC-14, AC-17, AC-18, AU-6, IA-2, IA-4, IA-5, IA-10, IA-11, MA- 4, RA-3, SA-4, SA-12, SC-8.

Control Enhancements:

• IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES

Accept and electronically verify Personal Identity Verification credentials from other federal agencies.

Supplemental Guidance: This control enhancement applies to both logical and physical access control systems. Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidelines. The adequacy and reliability of PIV card issuers are addressed and authorized using NIST Special Publication 800-79.

Related Controls: PE-3.

• IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | ACCEPTANCE OF EXTERNAL CREDENTIALS

Accept only external credentials that are NIST compliant.

Supplemental Guidance: This control enhancement applies to organizational systems that are accessible to the public, for example, public-facing websites. External credentials are those credentials issued by nonfederal government entities. Such credentials are certified as compliant with NIST Special Publication 800-63 by an approved accreditation authority. Approved external 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.

Related Controls: None.

• IDENTIFICATION AND IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | USE OF FICAM-APPROVED PRODUCTS

[Withdrawn: Incorporated into IA-8(2)].

• IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | USE OF NIST-ISSUED PROFILES

Conform to NIST-issued profiles for identity management.

Supplemental Guidance: This control enhancement addresses open identity management standards. To ensure that these identity management standards are viable, robust, reliable,

 

sustainable, and interoperable as documented, the United States Government assesses and scopes the standards and technology implementations against applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. The result is NIST-issued implementation profiles of approved protocols.

Related Controls: None.

• IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | ACCEPTANCE OF PIV-I CREDENTIALS

Accept and electronically verify Personal Identity Verification-I (PIV-I) credentials.

Supplemental Guidance: This control enhancement applies to both logical access control and physical access control systems. It addresses Nonfederal Issuers of identity cards that desire to interoperate with United States Government Personal Identity Verification (PIV) 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 commensurate with the PIV credentials as defined in cited references. PIV-I credentials are the 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 with the FBCA (directly or through another PKI bridge) with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy.

Related Controls: None.

• IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | DISASSOCIABILITY

Implement [Assignment: organization-defined measures] to disassociate user attributes or credential assertion relationships among individuals, credential service providers, and relying parties.

Supplemental Guidance: Federated identity solutions can create increased privacy risks due to tracking and profiling of individuals. Using identifier mapping tables or privacy-enhancing cryptographic techniques to blind credential service providers and relying parties from each other or to make identity attributes less visible to transmitting parties can reduce these privacy risks.

Related Controls: None.

References: FIPS Publication 201; NIST Special Publications 800-63, 800-79, 800-116; NIST

Interagency Report 8062.

 

IA-9       SERVICE IDENTIFICATION AND AUTHENTICATION

Control: Identify and authenticate [Assignment: organization-defined system services and applications] before establishing communications with devices, users, or other services or applications.

Supplemental Guidance: Services that may require identification and authentication include, for example, web applications using digital certificates or services/applications that query a database. Identification and authentication methods for system services/applications include, for example, information or code signing, provenance graphs, and/or electronic signatures indicating the sources of services.

Related Controls: IA-3, IA-4, IA-5.

Control Enhancements:

• SERVICE IDENTIFICATION AND AUTHENTICATION | INFORMATION EXCHANGE

Ensure that service providers receive, validate, and transmit identification and authentication information.

Supplemental Guidance: None.

Related Controls: None.

 

• SERVICE IDENTIFICATION AND AUTHENTICATION | TRANSMISSION OF DECISIONS

Transmit identification and authentication decisions between [Assignment: organization-defined services] consistent with organizational policies.

Supplemental Guidance: For distributed 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 (instead of the actual identifiers and authenticators) to the services that need to act on those decisions.

Related Controls: SC-8.

References: None.

 

IA-10     ADAPTIVE AUTHENTICATION

Control: Require individuals accessing the system to employ [Assignment: organization-defined supplemental authentication techniques or mechanisms] under specific [Assignment: organization-defined circumstances or situations].

Supplemental Guidance: Adversaries 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 or mechanisms and establish protocols to assess suspicious behavior. Such behavior may include, for example, accessing information that individuals do not typically access as part of their 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 situations when pre-established conditions or triggers occur, organizations can require individuals to provide additional authentication information. Another potential use for adaptive authentication is to increase the strength of mechanism based on the number and/or types of records being accessed. Adaptive authentication does not replace and is not used to avoid multifactor mechanisms, but can augment implementations of these controls.

Related Controls:  IA-2, IA-8.

Control Enhancements:  None.

References: NIST Special Publication 800-63.

 

IA-11     RE-AUTHENTICATION

Control: Require users to re-authenticate when [Assignment: organization-defined circumstances or situations requiring re-authentication].

Supplemental Guidance: In addition to the re-authentication requirements associated with device locks, organizations may require re-authentication of individuals in certain situations including, for example, when authenticators or roles change; when security categories of systems change; when the execution of privileged functions occurs; after a fixed time-period; or periodically.

Related Controls: AC-3, AC-11, IA-2, IA-3, IA-8.

Control Enhancements: None.

References: None.

 

IA-12     IDENTITY PROOFING

Control:

1. Identity proof users that require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines;
2. Resolve user identities to a unique individual; and

 

1. Collect, validate, and verify identity

Supplemental Guidance: Identity proofing is the process of collecting, validating, and verifying user’s identity information for the purposes of issuing credentials for accessing a system. This control is intended to mitigate threats to the registration of users and the establishment of their accounts. Standards and guidelines specifying identity assurance levels for identity proofing include NIST Special Publications 800-63 and 800-63A.

Related Controls: IA-1, IA-2, IA-3, IA-4, IA-5, IA-6, IA-8.

• IDENTITY PROOFING | SUPERVISOR AUTHORIZATION

Require that the registration process to receive an account for logical access includes supervisor or sponsor authorization.

Supplemental Guidance: None.

Related Controls: None.

• IDENTITY PROOFING | IDENTITY EVIDENCE

Require evidence of individual identification be presented to the registration authority.

Supplemental Guidance: Requiring identity evidence, 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. Acceptable forms of evidence are consistent with the risk to the systems, roles, and privileges associated with the user’s account.

Related Controls: None.

• IDENTITY PROOFING | IDENTITY EVIDENCE VALIDATION AND VERIFICATION

Require that the presented identity evidence be validated and verified through [Assignment: organizational defined methods of validation and verification].

Supplemental Guidance: Validating and verifying identity evidence increases the assurance that that accounts, identifiers, and authenticators are being issued to the correct user. Validation refers to the process of confirming that the evidence is genuine and authentic and that the data contained in the evidence is correct, current, and related to an actual person or individual.

Verification confirms and establishes a linkage between the claimed identity and the actual existence of the user presenting the evidence. Acceptable methods for validating and verifying identity evidence are consistent with the risk to the systems, roles, and privileges associated with the users account

Related Controls: None.

• IDENTITY PROOFING | IN-PERSON VALIDATION AND VERIFICATION

Require that the validation and verification of identity evidence be conducted in person before a designated registration authority.

Supplemental Guidance: In-person proofing reduces the likelihood of fraudulent credentials being issued because it requires the physical presence of individuals, the presentation of physical identity documents, and actual face-to-face interactions with designated registration authorities.

Related Controls: None.

• IDENTITY PROOFING | ADDRESS CONFIRMATION

Require that a [Selection: registration code; notice of proofing] be delivered through an out-of- band channel to verify the users address (physical or digital) of record.

Supplemental Guidance: To make it more difficult for adversaries to pose as legitimate users during the identity proofing process, organizations can use out-of-band methods to increase assurance that the individual associated with an address of record was the same person that participated in the registration. Confirmation can take the form of a temporary enrollment code or a notice of proofing. The delivery address for these artifacts are obtained from records and not self-asserted by the user. The address can include a physical or a digital address. A home address is an example of a physical address. Email addresses and telephone numbers are examples of digital addresses.

 

Related Controls: IA-12.

• IDENTITY PROOFING | ACCEPT EXTERNALLY-PROOFED IDENTITIES

Accept externally-proofed identities at [Assignment: organization-defined identity assurance level].

Supplemental Guidance: To limit unnecessary re-proofing of identities, particularly of non-PIV users, organizations accept proofing conducted at a commensurate level of assurance by other agencies or organizations. Proofing is consistent with organizational security policy and with the identity assurance level appropriate for the system, application, or information accessed. This is a core component of managing federated identities across agencies and organizations.

Related Controls: IA-3, IA-4, IA-5, IA-8.

References: FIPS Publication 201; NIST Special Publications 800-63, 800-63A.

INDIVIDUAL PARTICIPATION

Quick link to Individual Participation summary table

 

IP-1       INDIVIDUAL PARTICIPATION POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. An individual participation policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the individual participation policy and the associated individual participation controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the individual participation policy and procedures;
3. Review and update the current individual participation:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the individual participation procedures implement the individual participation policy and controls; and
5. Develop, document, and implement remediation actions for violations of the individual participation

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the IP family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

IP-2       CONSENT

Control: Implement [Assignment: organization-defined tools or mechanisms] for users to authorize the processing of their personally identifiable information prior to its collection that:

1. Use plain language and provide examples to illustrate the potential privacy risks of the authorization; and

 

1. Provide a means for users to decline the

Supplemental Guidance: This control transfers risk that arises from the processing of personally identifiable information from the organization to an individual. It is only selected as required by law or regulation or when individuals can be reasonably expected to understand and accept any privacy risks arising from their authorization. Organizations consider whether other controls may more effectively mitigate privacy risk either alone or in conjunction with consent.

To help users understand the risks being accepted when providing consent, organizations write materials in plain language and avoid technical jargon. The examples required in IP-2 a. focus on key points necessary for user decision-making. When developing or purchasing consent tools, organizations consider the application of good information design procedures in all user-facing consent materials; use of active voice and conversational style; logical sequencing of main points; consistent use of the same word (rather than synonyms) to avoid confusion; the use of bullets, numbers, and formatting where appropriate to aid readability; and legibility of text, such as font style, size, color, and contrast with surrounding background.

Related Controls: AC-16, IP-4.

Control Enhancements:

• CONSENT | ATTRIBUTE MANAGEMENT

Allow data subjects to tailor use permissions to selected attributes.

Supplemental Guidance: Allowing individuals to select how specific data attributes may be further used or disclosed beyond the original use may help reduce privacy risk arising from the most sensitive of the data attributes while maintaining utility of the data.

Related Controls: None.

• CONSENT | JUST-IN-TIME NOTICE OF CONSENT

Present authorizations to process personally identifiable information in conjunction with the data action or [Assignment: organization-defined frequency].

Supplemental Guidance: If the circumstances under which an individual gave consent have changed or a significant amount of time has passed since an individual gave consent for the processing of his or her personally identifiable information, the data subject’s assumption about how the information is being processed might no longer be accurate or reliable. Just-in- time notice can help maintain individual satisfaction with how the personally identifiable information is being processed.

Related Controls: None.

References: NIST Special Publication 800-63; NIST Interagency Report 8062.

 

IP-3       REDRESS

Control:

1. Establish and implement a process for individuals to have inaccurate personally identifiable information maintained by the organization corrected or amended; and
2. Establish and implement a process for disseminating corrections or amendments of personally identifiable information to other authorized users of the personally identifiable

Supplemental Guidance: Redress supports the ability of individuals to ensure the accuracy of their personally identifiable information held by organizations. Effective redress processes demonstrate organizational commitment to data quality especially in those business functions where inaccurate data may result in inappropriate decisions or the denial of benefits and services to individuals.

Organizations use discretion in determining if records are to be corrected or amended, based on the scope of redress requests, the changes sought, and the impact of the changes. Other authorized users of personally identifiable information include, for example, external information-sharing partners.

 

An effective redress process includes: providing effective notice of the existence of a personally identifiable information collection; providing plain language explanations of the processes and mechanisms for requesting access to records; establishing the criteria for submitting requests for correction or amendment of records; implementing resources to analyze and adjudicate requests; implementing means of correcting or amending data collections; and reviewing any decisions that may have been the result of inaccurate information.

Related Controls: IP-4, IP-6, IR-7, PM-28.

Control Enhancements:

• REDRESS | NOTICE OF CORRECTION OR AMENDMENT

Notify affected individuals if their personally identifiable information has been corrected or amended.

Supplemental Guidance: Where personally identifiable information is corrected or amended, organizations take steps to ensure that all authorized recipients of such information and the individual with which the information is associated, are informed of the corrected or amended information.

Related Controls: None.

• REDRESS | APPEAL

Provide [Assignment: organization-defined process] for individuals to appeal an adverse decision and have incorrect information amended.

Supplemental Guidance: The Senior Agency Official for Privacy ensures that practical means and mechanisms exist and are accessible for individuals to seek the correction or amendment of their personally identifiable information. Redress processes are clearly defined and publicly available. Additionally, redress processes include the provision of responses to individuals of decisions to deny requests for correction or amendment. The responses include the reasons for the decisions, a means to record individual objections to the decisions, and finally, a means of requesting reviews of the initial determinations.

Related Controls: None.

References: None.

 

IP-4       PRIVACY NOTICE

Control:

1. Make privacy notice(s) available to individuals upon first interacting with an organization, and subsequently [Assignment: organization-defined frequency].
2. Ensure that privacy notices are clear and easy-to-understand, expressing information about personally identifiable information processing in plain

Supplemental Guidance: To help users understand how their information is being processed, organizations write materials in plain language and avoid technical jargon. When developing privacy notices, organizations consider the application of good information design procedures in all user-facing materials; use of active voice and conversational style; logical sequencing of main points; consistent use of the same word (rather than synonyms) to avoid confusion; use of bullets, numbers, and formatting where appropriate to aid readability; and legibility of text, such as font style, size, color, and contrast with surrounding background.

Related Controls: IP-2, IP-3, IP-4, IP-5, PA-2, PA-3, PA-4, PM-21.

Control Enhancements:

(1) PRIVACY NOTICE | JUST-IN-TIME NOTICE OF PRIVACY AUTHORIZATION

Present authorizations to process personally identifiable information in conjunction with the data action, or [Assignment: organization-defined frequency].

Supplemental Guidance: If the circumstances under which an individual gave consent have changed or a significant amount of time has passed since an individual gave consent for the

 

processing of his or her personally identifiable information, the data subject’s assumption about how the information is being processed might no longer be accurate or reliable. Just-in- time notice can help maintain individual satisfaction with or ability to participate in how the personally identifiable information is being processed.

Related Controls:  IP-2, IP-3, IP-5, PA-3, PA-4, PM-22.

References: NIST Interagency Report 8062.

 

IP-5       PRIVACY ACT STATEMENTS

Control:

1. Include Privacy Act Statements on organizational forms that collect personally identifiable information, or on separate forms that can be retained by individuals; or
2. Read a Privacy Act Statement to the individual prior to initiating the collection of personally identifiable information

Supplemental Guidance: Privacy Act Statements provide additional formal notice to individuals from whom the information is being collected, notice of the authority of organizations to collect personally identifiable information; whether providing personally identifiable information is mandatory or optional; the principal purpose or purposes for which the personally identifiable information is to be used; the intended disclosures or routine uses of the information; and the consequences of not providing all or some portion of the information requested. Personally identifiable information may be collected verbally, for example, when conducting telephone interviews or surveys.

Related Controls: IP-4, PA-3, PM-20, PM-21.

Control Enhancements: None.

References: None.

 

IP-6       INDIVIDUAL ACCESS

Control: Provide individuals the ability to access their personally identifiable information maintained in organizational systems of records.

Supplemental Guidance: Access affords individuals the ability to review personally identifiable information about them held within organizational systems of records. Access includes timely, simplified, and inexpensive access to data. Organizational processes for allowing access to records may differ based on resources, legal requirements, or other factors. The Senior Agency Official for Privacy is responsible for the content of Privacy Act regulations and record request processing, in consultation with legal counsel. Access to certain types of records may not be appropriate, and heads of agencies may promulgate rules exempting specific systems from the access provision of the Privacy Act. When feasible, those rules will be publicly available. In addition, individuals are not entitled to access to information compiled in reasonable anticipation of a civil action or proceeding.

Related Controls: IP-3, PA-3, PM-27.

Control Enhancements: None.

References: NIST Interagency Report 8062.

 

3.2     INCIDENT RESPONSE

 

Quick link to Incident Response summary table

 

IR-1       INCIDENT RESPONSE POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. An incident response policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the incident response policy and the associated incident response controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the incident response policy and procedures;
3. Review and update the current incident response:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the incident response procedures implement the incident response policy and controls; and
5. Develop, document, and implement remediation actions for violations of the incident response

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the IR family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-61, 800-83, 800-100.

 

IR-2       INCIDENT RESPONSE TRAINING

Control: Provide incident response training to system users consistent with assigned roles and responsibilities:

1. Within [Assignment: organization-defined time-period] of assuming an incident response role or responsibility;

 

1. When required by system changes; and
2. [Assignment: organization-defined frequency]

Supplemental Guidance: Incident response training is linked to assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, users may only need to know who to call or how to recognize an incident; system administrators may require additional training on how to handle and remediate incidents; and finally, 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.

Related Controls: AT-2, AT-4, AT-3, CP-3, IR-3, IR-4, IR-8, IR-9.

Control Enhancements:

• INCIDENT RESPONSE TRAINING | SIMULATED EVENTS

Incorporate simulated events into incident response training to facilitate effective response by personnel in crisis situations.

Supplemental Guidance: None.

Related Controls: None.

• INCIDENT RESPONSE TRAINING | AUTOMATED TRAINING ENVIRONMENTS

Employ automated mechanisms to provide a more thorough and realistic incident response training environment.

Supplemental Guidance: None.

Related Controls: None.

References: NIST Special Publication 800-50.

 

IR-3       INCIDENT RESPONSE TESTING

Control: Test the incident response capability for the system [Assignment: organization-defined frequency] using [Assignment: organization-defined tests] to determine the incident response effectiveness and documents the results.

Supplemental Guidance: Organizations 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, organizational assets, and individuals due to incident response. Use of qualitative and quantitative data aids in determining the effectiveness of incident response processes.

Related Controls: CP-3, CP-4, IR-2, IR-4, IR-8, PM-14.

Control Enhancements:

• INCIDENT RESPONSE TESTING | AUTOMATED TESTING

Employ automated mechanisms to more thoroughly and effectively test the incident response capability.

Supplemental Guidance: Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities. This can be accomplished, for example, by providing more complete coverage of incident response issues; by selecting more realistic test scenarios and test environments; and by stressing the response capability.

Related Controls: None.

• INCIDENT RESPONSE TESTING | COORDINATION WITH RELATED PLANS

Coordinate incident response testing with organizational elements responsible for related plans.

Supplemental Guidance: Organizational plans related to incident response testing include, for example, Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity

 

of Operations Plans, Crisis Communications Plans, Occupant Emergency Plans, and Critical Infrastructure Plans.

Related Controls: None.

• INCIDENT RESPONSE TESTING | CONTINUOUS IMPROVEMENT

Use qualitative and quantitative data from testing to:

• Determine the effectiveness of incident response processes;
• Continuously improve incident response processes incorporating advanced information security practices; and
• Provide incident response measures and metrics that are accurate, consistent, and in a reproducible

Supplemental Guidance: To help incident response activities function as intended, organizations may use of metrics and evaluation criteria to assess incident response programs as part of an effort to continually improve response performance. These efforts facilitate improvement in incident response efficacy and lessen the impact of incidents.

Related Controls: None.

References: NIST Special Publications 800-84, 800-115.

 

IR-4       INCIDENT HANDLING

Control:

1. Implement an incident handling capability for security and privacy incidents that includes preparation, detection and analysis, containment, eradication, and recovery;
2. Coordinate incident handling activities with contingency planning activities;
3. Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and
4. Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the

Supplemental Guidance: Organizations recognize that incident response capability is dependent on the capabilities of organizational 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 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, system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).

Related Controls: AC-19, AU-6, AU-7, CM-6, CP-2, CP-3, CP-4, IR-2, IR-3, IR-8, PE-6, PL-2, PM-12, SA-12, SC-5, SC-7, SI-3, SI-4, SI-7.

Control Enhancements:

• INCIDENT HANDLING | AUTOMATED INCIDENT HANDLING PROCESSES

Employ automated mechanisms to support the incident handling process.

Supplemental Guidance: Automated mechanisms supporting incident handling processes include, for example, online incident management systems; and tools that support collection of live response data, full network packet capture, and forensic analysis.

Related Controls: None.

• INCIDENT HANDLING | DYNAMIC RECONFIGURATION

Include dynamic reconfiguration of [Assignment: organization-defined system components] as part of the incident response capability.

 

Supplemental Guidance: Dynamic 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 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 systems in the definition of the reconfiguration capability, considering the potential need for rapid response to effectively address cyber threats.

Related Controls: AC-2, AC-4, CM-2.

• INCIDENT HANDLING | CONTINUITY OF OPERATIONS

Identify [Assignment: organization-defined classes of incidents] and [Assignment: organization- defined actions to take in response to classes of incidents] to ensure continuation of organizational missions and business functions.

Supplemental Guidance: Classes 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, 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.

Related Controls: None.

• INCIDENT HANDLING | INFORMATION CORRELATION

Correlate incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.

Supplemental Guidance: Sometimes the nature of a threat event, for example, a hostile 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.

Related Controls: None.

• INCIDENT HANDLING | AUTOMATIC DISABLING OF SYSTEM

Implement a configurable capability to automatically disable the system if [Assignment: organization-defined security violations] are detected.

Supplemental Guidance: None.

Related Controls: None.

• INCIDENT HANDLING | INSIDER THREATS — SPECIFIC CAPABILITIES

Implement an incident handling capability for incidents involving insider threats.

Supplemental Guidance: While 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.

Related Controls: None.

• INCIDENT HANDLING | INSIDER THREATS — INTRA-ORGANIZATION COORDINATION

Coordinate an incident handling capability for insider threats across [Assignment: organization- defined components or elements of the organization].

Supplemental Guidance: Incident 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, 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.

Related Controls: None.

 

• INCIDENT HANDLING | CORRELATION WITH EXTERNAL ORGANIZATIONS

Coordinate with [Assignment: organization-defined external organizations] to correlate and share [Assignment: organization-defined incident information] to achieve a cross-organization perspective on incident awareness and more effective incident responses.

Supplemental Guidance: The coordination of incident information with external organizations including, for example, mission/business partners, military/coalition partners, customers, and multi-tiered 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.

Related Controls: AU-16, PM-16.

• INCIDENT HANDLING | DYNAMIC RESPONSE CAPABILITY

Employ [Assignment: organization-defined dynamic response capabilities] to effectively respond to security incidents.

Supplemental Guidance: This control enhancement addresses the timely deployment of new or replacement organizational capabilities in response to security and privacy incidents. This includes capabilities implemented at the mission and business process level and at the system level.

Related Controls: None.

• INCIDENT HANDLING | SUPPLY CHAIN COORDINATION

Coordinate incident handling activities involving supply chain events with other organizations involved in the supply chain.

Supplemental Guidance: Organizations 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 system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities.

Related Controls: MA-2, SA-9.

References: NIST Special Publications 800-61, 800-101, 800-86; NIST Interagency Report 7599.

 

IR-5       INCIDENT MONITORING

Control: Track and document system security and privacy incidents.

Supplemental Guidance: Documenting system security and privacy incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics; and evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, network monitoring; incident reports; incident response teams; user complaints; audit monitoring; physical access monitoring; and user and administrator reports.

Related Controls: AU-6, AU-7, IR-8, PE-6, PM-29, SC-5, SC-7, SI-3, SI-4, SI-7.

Control Enhancements:

(1) INCIDENT MONITORING | AUTOMATED TRACKING, DATA COLLECTION, AND ANALYSIS

Employ automated mechanisms to assist in the tracking of security and privacy incidents and in the collection and analysis of incident information.

Supplemental Guidance: Automated mechanisms for tracking incidents and for collecting and analyzing incident information include, for example, Computer Incident Response Centers or other electronic databases of incidents and network monitoring devices.

Related Controls: AU-7, IR-4.

References: NIST Special Publication 800-61.

 

IR-6       INCIDENT REPORTING

Control:

1. Require personnel to report suspected security and privacy incidents to the organizational incident response capability within [Assignment: organization-defined time-period]; and
2. Report security, privacy, and supply chain incident information to [Assignment: organization- defined authorities].

Supplemental Guidance: The intent of this control is to address both specific incident reporting requirements within an organization and the incident reporting requirements for organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. Suspected privacy incidents include, for example a suspected breach of personally identifiable information or the recognition that the processing of personally identifiable information creates potential privacy risk. The types of incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines.

Related Controls: CM-6, CP-2, IR-4, IR-5, IR-8, IR-9.

Control Enhancements:

• INCIDENT REPORTING | AUTOMATED REPORTING

Employ automated mechanisms to assist in the reporting of security and privacy incidents.

Supplemental Guidance: None.

Related Controls: IR-7.

• INCIDENT REPORTING | VULNERABILITIES RELATED TO INCIDENTS

Report system vulnerabilities associated with reported security and privacy incidents to [Assignment: organization-defined personnel or roles].

Supplemental Guidance: None.

Related Controls: None.

• INCIDENT REPORTING | SUPPLY CHAIN COORDINATION

Provide security and privacy incident information to the provider of the product or service and other organizations involved in the supply chain for systems or system components related to the incident.

Supplemental Guidance: Organizations 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 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 controlled unclassified information being released to outside organizations of perhaps questionable trustworthiness.

Related Controls: SA-12.

References: NIST Special Publication 800-61.

 

IR-7       INCIDENT RESPONSE ASSISTANCE

Control: Provide an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the system for the handling and reporting of security and privacy incidents.

Supplemental Guidance: Incident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services or consumer redress services, when required.

Related Controls: AT-2, AT-3, IP-3, IR-4, IR-6, IR-8, PM-28, SA-9.

 

Control Enhancements:

• INCIDENT RESPONSE ASSISTANCE | AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION AND SUPPORT

Employ automated mechanisms to increase the availability of incident response-related information and support.

Supplemental Guidance: Automated 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 the assistance capability can proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.

Related Controls: None.

• INCIDENT RESPONSE ASSISTANCE | COORDINATION WITH EXTERNAL PROVIDERS
  • Establish a direct, cooperative relationship between its incident response capability and external providers of system protection capability; and
  • Identify organizational incident response team members to the external

Supplemental Guidance: External providers of a 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.

Related Controls: None.

References: NIST Interagency Report 7559.

 

IR-8       INCIDENT RESPONSE PLAN

Control:

1. Develop an incident response plan that:
   1. Provides the organization with a roadmap for implementing its incident response capability;
   2. Describes the structure and organization of the incident response capability;
   3. Provides a high-level approach for how the incident response capability fits into the overall organization;
   4. Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
   5. Defines reportable incidents;
   6. Provides metrics for measuring the incident response capability within the organization;
   7. Defines the resources and management support needed to effectively maintain and mature an incident response capability;
   8. Is reviewed and approved by [Assignment: organization-defined personnel or roles] [Assignment: organization-defined frequency]; and
   9. Explicitly designates responsibility for incident response to [Assignment: organization- defined entities, personnel, or roles].
2. Distribute copies of the incident response plan to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements];
3. Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing;
4. Communicate incident response plan changes to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements]; and

 

1. Protect the incident response plan from unauthorized disclosure and

Supplemental Guidance: It 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 systems. For incidents involving personally identifiable information, include a process to determine whether notice to oversight organizations or affected individuals is appropriate and provide that notice accordingly.

Related Controls: AC-2, CP-2, CP-4, IR-4, IR-7, IR-9, PE-6, PL-2, SA-12, SA-15, SI-12.

Control Enhancements:

• INCIDENT RESPONSE PLAN | PERSONALLY IDENTIFIABLE INFORMATION PROCESSES

Include the following additional processes in the Incident Response Plan for incidents involving personally identifiable information:

• A process to determine if notice to oversight organizations is appropriate and to provide that notice, if appropriate;
• An assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals; and
• A process to ensure prompt reporting by organizational users of any privacy incident to [Assignment: organization-defined roles].

Supplemental Guidance: Some organizations may be required by law or policy to provide notice to oversight organizations in the event of a privacy-related incident. Organization-defined roles to which privacy incidents may be reported include, for example, the Senior Agency Official for Privacy, Senior Agency Information Security Officer, Authorizing Official, and System Owner.

Related Controls: None.

References: NIST Special Publication 800-61.

 

IR-9       INFORMATION SPILLAGE RESPONSE

Control: Respond to information spills by:

1. Identifying the specific information involved in the system contamination;
2. Alerting [Assignment: organization-defined personnel or roles] of the information spill using a method of communication not associated with the spill;
3. Isolating the contaminated system or system component;
4. Eradicating the information from the contaminated system or component;
5. Identifying other systems or system components that may have been subsequently contaminated; and
6. Performing the following additional actions: [Assignment: organization-defined actions].

Supplemental Guidance: Information spillage refers to instances where either classified or controlled unclassified information is inadvertently placed on systems that are not authorized to process such information. Such information spills occur when information that is initially thought to be of lower sensitivity is transmitted to a system and then 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, the security capabilities of the system, the specific nature of contaminated storage media, and the access authorizations 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.

 

Related Controls: CP-2, IR-6, PM-28, PM-30, RA-7.

Control Enhancements:

• INFORMATION SPILLAGE RESPONSE | RESPONSIBLE PERSONNEL

Assign [Assignment: organization-defined personnel or roles] with responsibility for responding to information spills.

Supplemental Guidance: None.

Related Controls: None.

• INFORMATION SPILLAGE RESPONSE | TRAINING

Provide information spillage response training [Assignment: organization-defined frequency].

Supplemental Guidance: None.

Related Controls: AT-2, AT-3, CP-3, IR-2.

• INFORMATION SPILLAGE RESPONSE | POST-SPILL OPERATIONS

Implement [Assignment: 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.

Supplemental Guidance: Correction actions for 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.

Related Controls: None.

• INFORMATION SPILLAGE RESPONSE | EXPOSURE TO UNAUTHORIZED PERSONNEL

Employ [Assignment: organization-defined security safeguards] for personnel exposed to information not within assigned access authorizations.

Supplemental Guidance: Security safeguards include, for example, ensuring that personnel who are exposed to spilled information are made aware of the laws, Executive Orders, directives, regulations, policies, standards, and guidelines regarding the information and the restrictions imposed based on exposure to such information.

Related Controls: None.

References: None.

 

IR-10     INTEGRATED INFORMATION SECURITY ANALYSIS TEAM

Control: Establish an integrated team of forensic and malicious code analysts, tool developers, and real-time operations personnel to handle incidents.

Supplemental Guidance: Having 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 to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, integrated teams promote 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 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 tactics, techniques, and procedures that are linked to the operations tempo or to specific missions and business functions, and to define responsive actions in a way that does not disrupt those missions and business functions. Information security analysis teams are distributed within organizations to make the capability more resilient.

Related Controls: AT-3.

Control Enhancements: None.

References: NIST Special Publication 800-150; NIST Interagency Report 7559.

 

3.3        MAINTENANCE

 

Quick link to Maintenance summary table

 

MA-1    SYSTEM MAINTENANCE POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A system maintenance policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the system maintenance policy and the associated system maintenance controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the system maintenance policy and procedures;
3. Review and update the current system maintenance:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the system maintenance procedures implement the system maintenance policy and controls; and
5. Develop, document, and implement remediation actions for violations of the maintenance policy.

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the MA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

MA-2    CONTROLLED MAINTENANCE

Control:

1. Schedule, document, and review records of maintenance, repair, or replacement on system components in accordance with manufacturer or vendor specifications and/or organizational requirements;

 

1. Approve and monitor all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location;
2. Require that [Assignment: organization-defined personnel or roles] explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;
3. Sanitize equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement;
4. Check all potentially impacted security and privacy controls to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; and
5. Include [Assignment: organization-defined maintenance-related information] in organizational maintenance

Supplemental Guidance: This control addresses the information security aspects of the system maintenance program and applies to all types of maintenance to any system component (hardware, firmware, applications) conducted by any local or nonlocal entity. System maintenance also includes those components not directly associated with information processing and/or data or information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example, date and time of maintenance; name of individuals or group performing the maintenance; name of escort, if necessary; a description of the maintenance performed; and system components or 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 systems. Organizations consider supply chain issues associated with replacement components for systems.

Related Controls: CM-3, CM-4, CM-5, MA-4, MP-6, PE-16, SA-12, SA-19, SI-2.

Control Enhancements:

• CONTROLLED MAINTENANCE | RECORD CONTENT

[Withdrawn: Incorporated into MA-2].

• CONTROLLED MAINTENANCE | AUTOMATED MAINTENANCE ACTIVITIES
  • Employ automated mechanisms to schedule, conduct, and document maintenance, repair, and replacement actions for the system or system components; and
  • Produce up-to date, accurate, and complete records of all maintenance, repair, and replacement actions requested, scheduled, in process, and

Supplemental Guidance: None.

Related Controls: MA-3.

References: NIST Interagency Report 8023.

 

MA-3    MAINTENANCE TOOLS

Control:

1. Approve, control, and monitor the use of system maintenance tools; and
2. Review previously approved system maintenance tools [Assignment: organization-defined frequency].

Supplemental Guidance: This control addresses security-related issues associated with maintenance tools that are not within organizational system boundaries but are used specifically for diagnostic and repair actions on organizational systems. Organizations have flexibility in determining roles for approval of maintenance tools and how that approval is documented. Periodic review of system maintenance tools facilitates withdrawal of the approval for outdated, unsupported, irrelevant, or no-longer-used tools. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, intentionally or unintentionally, into a facility and subsequently into systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware and software

 

packet sniffers. This control does not cover hardware or software components that support system maintenance and are a part of the system, for example, the software implementing “ping,” “ls,” “ipconfig,” or the hardware and software implementing the monitoring port of an Ethernet switch.

Related Controls: MA-2, PE-16.

Control Enhancements:

• MAINTENANCE TOOLS | INSPECT TOOLS

Inspect the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.

Supplemental Guidance: If, upon inspection of maintenance tools, organizations determine that the tools have been modified in an improper/unauthorized manner or contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.

Related Controls: SI-7.

• MAINTENANCE TOOLS | INSPECT MEDIA

Check media containing diagnostic and test programs for malicious code before the media are used in the system.

Supplemental Guidance: If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures.

Related Controls: SI-3.

• MAINTENANCE TOOLS | PREVENT UNAUTHORIZED REMOVAL

Prevent the removal of maintenance equipment containing organizational information by:

• Verifying that there is no organizational information contained on the equipment;
• Sanitizing or destroying the equipment;
• Retaining the equipment within the facility; or
• Obtaining an exemption from [Assignment: organization-defined personnel or roles] explicitly authorizing removal of the equipment from the

Supplemental Guidance: Organizational information includes all information specifically owned by organizations and information provided to organizations in which organizations serve as information stewards.

Related Controls: MP-6.

• MAINTENANCE TOOLS | RESTRICTED TOOL USE

Restrict the use of maintenance tools to authorized personnel only.

Supplemental Guidance: This control enhancement applies to systems that are used to carry out maintenance functions.

Related Controls: AC-3, AC-5, AC-6.

References: NIST Special Publication 800-88.

 

MA-4    NONLOCAL MAINTENANCE

Control:

1. Approve and monitor nonlocal maintenance and diagnostic activities;
2. Allow the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the system;
3. Employ strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;
4. Maintain records for nonlocal maintenance and diagnostic activities; and
5. Terminate session and network connections when nonlocal maintenance is

 

Supplemental Guidance: Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the system or 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. 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.

Related Controls: AC-2, AC-3, AC-6, AC-17, AU-2, AU-3, IA-2, IA-4, IA-5, IA-8, MA-2, MA-5, PL-2, SC-7, SC-10.

Control Enhancements:

• NONLOCAL MAINTENANCE | AUDITING AND REVIEW
  • Audit [Assignment: organization-defined audit events] for nonlocal maintenance and diagnostic sessions; and
  • Review the records of the maintenance and diagnostic

Supplemental Guidance: None.

Related Controls: AU-6, AU-12.

• NONLOCAL MAINTENANCE | DOCUMENT NONLOCAL MAINTENANCE

[Withdrawn: Incorporated into MA-1 and MA-4]

• NONLOCAL MAINTENANCE | COMPARABLE SECURITY AND SANITIZATION
  • Require that nonlocal maintenance and diagnostic services be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or
  • Remove the component to be serviced from the system prior to nonlocal maintenance or diagnostic services; sanitize the component (for organizational information) before removal from organizational facilities; and after the service is performed, inspect and sanitize the component (for potentially malicious software) before reconnecting the component to the system.

Supplemental Guidance: Comparable security capability on 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 system being serviced.

Related Controls: MP-6, SI-3, SI-7.

• NONLOCAL MAINTENANCE | AUTHENTICATION AND SEPARATION OF MAINTENANCE SESSIONS

Protect nonlocal maintenance sessions by:

• Employing [Assignment: organization-defined authenticators that are replay resistant]; and
• Separating the maintenance sessions from other network sessions with the system by either:
  • Physically separated communications paths; or
  • Logically separated communications paths based upon

Supplemental Guidance: None.

Related Controls: None.

• NONLOCAL MAINTENANCE | APPROVALS AND NOTIFICATIONS
  • Require the approval of each nonlocal maintenance session by [Assignment: organization- defined personnel or roles]; and
  • Notify [Assignment: organization-defined personnel or roles] of the date and time of planned nonlocal

Supplemental Guidance: Notification may be performed by maintenance personnel. Approval of nonlocal maintenance sessions is accomplished by organizational personnel with sufficient information security and system knowledge to determine the appropriateness of the proposed maintenance.

 

Related Controls: None.

• NONLOCAL MAINTENANCE | CRYPTOGRAPHIC PROTECTION

Implement cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.

Supplemental Guidance: None.

Related Controls: SC-8, SC-13.

• NONLOCAL MAINTENANCE | REMOTE DISCONNECT VERIFICATION

Implement remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.

Supplemental Guidance: Remote disconnect verification ensures that remote connections from nonlocal maintenance sessions have been terminated and are no longer available for use.

Related Controls: AC-12.

References: FIPS Publications 140-2, 197, 201; NIST Special Publications 800-63, 800-88.

 

MA-5    MAINTENANCE PERSONNEL

Control:

1. Establish a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel;
2. Verify that non-escorted personnel performing maintenance on the system possess the required access authorizations; and
3. Designate organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access

Supplemental Guidance: This control applies to individuals performing hardware or software maintenance on organizational systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems. Technical competence of supervising individuals relates to the maintenance performed on the 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 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.

Related Controls: AC-2, AC-3, AC-5, AC-6, IA-2, IA-8, MA-4, MP-2, PE-2, PE-3, PS-7, RA-3.

Control Enhancements:

• MAINTENANCE PERSONNEL | INDIVIDUALS WITHOUT APPROPRIATE ACCESS
  • Implement procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
    • Maintenance 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 system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;
    • Prior 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 system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and
  • Develop and implement alternate security safeguards in the event a system component cannot be sanitized, removed, or disconnected from the

 

Supplemental Guidance: This control enhancement denies individuals who lack appropriate security clearances or who are not U.S. citizens, visual and electronic access to any classified or controlled unclassified information contained on organizational systems. Procedures for the use of maintenance personnel can be documented in security plans for the systems.

Related Controls: MP-6, PL-2.

• MAINTENANCE PERSONNEL | SECURITY CLEARANCES FOR CLASSIFIED SYSTEMS

Verify that personnel performing maintenance and diagnostic activities on a 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.

Supplemental Guidance: None.

Related Controls: PS-3.

• MAINTENANCE PERSONNEL | CITIZENSHIP REQUIREMENTS FOR CLASSIFIED SYSTEMS

Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information are U.S. citizens.

Supplemental Guidance: None.

Related Controls: PS-3.

• MAINTENANCE PERSONNEL | FOREIGN NATIONALS

Verify that:

• Foreign nationals with appropriate security clearances are used to conduct maintenance and diagnostic activities on classified 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
• Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of

Supplemental Guidance: None.

Related Controls: PS-3.

• MAINTENANCE PERSONNEL | NON-SYSTEM MAINTENANCE

Verify that non-escorted personnel performing maintenance activities not directly associated with the system but in the physical proximity of the system, have required access authorizations.

Supplemental Guidance: Personnel performing maintenance activities in other capacities not directly related to the system include, for example, physical plant personnel and janitorial personnel.

Related Controls: None.

References: None.

 

MA-6    TIMELY MAINTENANCE

Control: Obtain maintenance support and/or spare parts for [Assignment: organization-defined system components] within [Assignment: organization-defined time-period] of failure.

Supplemental Guidance: Organizations specify the 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.

Related Controls: CM-8, CP-2, CP-7, RA-7, SA-12, SA-15, SI-13.

Control Enhancements:

• TIMELY MAINTENANCE | PREVENTIVE MAINTENANCE

Perform preventive maintenance on [Assignment: organization-defined system components] at [Assignment: organization-defined time intervals].

 

Supplemental Guidance: Preventive maintenance includes proactive care and servicing of system components to maintain 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 fail.

Methods of determining what preventive (or other) failure management policies to apply include, for example, original equipment manufacturer 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.

Related Controls: None.

• TIMELY MAINTENANCE | PREDICTIVE MAINTENANCE

Perform predictive maintenance on [Assignment: organization-defined system components] at [Assignment: organization-defined time intervals].

Supplemental Guidance: Predictive 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.

Related Controls: None.

• TIMELY MAINTENANCE | AUTOMATED SUPPORT FOR PREDICTIVE MAINTENANCE

Employ automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.

Supplemental Guidance: A computerized maintenance management system maintains a database of information about the maintenance operations of organizations and automates processing equipment condition data to trigger maintenance planning, execution, and reporting.

Related Controls: None.

• TIMELY MAINTENANCE | ADEQUATE SUPPLY

Employ [Assignment: organization-defined security safeguards] to ensure an adequate supply of [Assignment: organization-defined critical system components].

Supplemental Guidance: Adversaries can attempt to impede organizational operations by disrupting the supply of critical system components or corrupting supplier operations. Organizations may track systems and component mean time to failure to mitigate the loss of temporary or permanent system function. Safeguards to ensure that adequate supplies of critical system components include, for example, the use of multiple suppliers throughout the supply chain for the identified critical components; stockpiling spare components to ensure operation during mission-critical times, and the identification of functionally-identical or similar components which may be used, if necessary.

Related Controls: SA-12, SA-19.

References: None.

 

3.4        MEDIA PROTECTION

 

Quick link to Media Protection summary table

 

MP-1     MEDIA PROTECTION POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A media protection policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the media protection policy and the associated media protection controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the media protection policy and procedures;
3. Review and update the current media protection:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the media protection procedures implement the media protection policy and controls; and
5. Develop, document, and implement remediation actions for violations of the media protection policy.

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the MP family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

MP-2     MEDIA ACCESS

Control: Restrict access to [Assignment: organization-defined types of digital and/or non-digital media] to [Assignment: organization-defined personnel or roles].

Supplemental Guidance: 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.

Related Controls: AC-19, AU-9, CP-2, CP-9, CP-10, MA-5, MP-6, MP-4, PE-2, PE-3, SC-13, SC- 34, SI-12.

Control Enhancements:

• MEDIA ACCESS | AUTOMATED RESTRICTED ACCESS

[Withdrawn: Incorporated into MP-4(2)].

• MEDIA ACCESS | CRYPTOGRAPHIC PROTECTION

[Withdrawn: Incorporated into SC-28(1)].

References: FIPS Publication 199; NIST Special Publication 800-111.

 

MP-3     MEDIA MARKING

Control:

1. Mark system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and
2. Exempt [Assignment: organization-defined types of system media] from marking if the media remain within [Assignment: organization-defined controlled areas].

Supplemental Guidance: Security marking refers to the application or use of human-readable security attributes. Security labeling refers to the application or use of security attributes regarding internal data structures within systems. System media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external or removable 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 system media reflects applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.

Related Controls: AC-16, CP-9, MP-5, PE-22, SI-12.

Control Enhancements: None.

References: FIPS Publication 199.

 

MP-4     MEDIA STORAGE

Control:

1. Physically control and securely store [Assignment: organization-defined types of digital and/or non-digital media] within [Assignment: organization-defined controlled areas]; and
2. Protect system media until the media are destroyed or sanitized using approved equipment, techniques, and

Supplemental Guidance: System media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external or removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling 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 stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet; or a controlled media library. The type of media storage employed

 

by organizations is commensurate with the security category or classification of the information residing on the media. Controlled areas are areas that provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and systems. For media containing information determined 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.

Related Controls: AC-19, CP-2, CP-6, CP-9, CP-10, MP-2, MP-7, PE-3, PL-2, SC-13, SC-28, SC- 34, SI-12.

Control Enhancements:

• MEDIA STORAGE | CRYPTOGRAPHIC PROTECTION

[Withdrawn: Incorporated into SC-28(1)].

• MEDIA STORAGE | AUTOMATED RESTRICTED ACCESS

Employ automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.

Supplemental Guidance: Automated mechanisms can include, for example, keypads or card readers on the external entries to media storage areas.

Related Controls: AC-3, AU-2, AU-6, AU-9, AU-12, PE-3.

References: FIPS Publication 199; NIST Special Publications 800-56A, 800-56B, 800-56C, 800- 57-1, 800-57-2, 800-57-3, 800-111.

 

MP-5     MEDIA TRANSPORT

Control:

1. Protect and control [Assignment: organization-defined types of system media] during transport outside of controlled areas using [Assignment: organization-defined security safeguards];
2. Maintain accountability for system media during transport outside of controlled areas;
3. Document activities associated with the transport of system media; and
4. Restrict the activities associated with the transport of system media to authorized

Supplemental Guidance: 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, microfilm and paper. Controlled areas are areas or spaces for which organizations provide sufficient physical or procedural safeguards to meet requirements established for protecting information and 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. 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 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.

Related Controls: AC-7, AC-19, CP-2, CP-9, MP-3, MP-4, PE-16, PL-2, SC-13, SC-28, SC-34.

 

Control Enhancements:

• MEDIA TRANSPORT | PROTECTION OUTSIDE OF CONTROLLED AREAS

[Withdrawn: Incorporated into MP-5].

• MEDIA TRANSPORT | DOCUMENTATION OF ACTIVITIES

[Withdrawn: Incorporated into MP-5].

• MEDIA TRANSPORT | CUSTODIANS

Employ an identified custodian during transport of system media outside of controlled areas.

Supplemental Guidance: Identified 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 if an unambiguous custodian is identified at all times.

Related Controls: None.

• MEDIA TRANSPORT | CRYPTOGRAPHIC PROTECTION

[Withdrawn: Incorporated into SC-28(1)].

References: FIPS Publication 199; NIST Special Publication 800-60-1, 800-60-2.

 

MP-6     MEDIA SANITIZATION

Control:

1. Sanitize [Assignment: organization-defined system media] prior to disposal, release out of organizational control, or release for reuse using [Assignment: organization-defined sanitization techniques and procedures]; and
2. Employ sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the

Supplemental Guidance: This control applies to all system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include: digital media found in scanners, copiers, printers, notebook computers, workstations, network components, mobile devices; and non-digital media such as paper and microfilm. 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, destruction, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections or words in a manner equivalent in effectiveness to removing them from the document. NARA policy and guidance control the sanitization process for controlled unclassified information. NSA standards and policies control the sanitization process for media containing classified information.

Related Controls: AC-3, AC-7, AU-11, MA-2, MA-3, MA-4, MA-5, SI-12, SI-18.

Control Enhancements:

• MEDIA SANITIZATION | REVIEW, APPROVE, TRACK, DOCUMENT, AND VERIFY

Review, approve, track, document, and verify media sanitization and disposal actions.

Supplemental Guidance: Organizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking and 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 the disposal actions taken.

Organizations verify that the sanitization of the media was effective prior to disposal.

Related Controls: None.

• MEDIA SANITIZATION | EQUIPMENT TESTING

Test sanitization equipment and procedures [Assignment: organization-defined frequency] to verify that the intended sanitization is being achieved.

Supplemental Guidance: Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities including, for example, federal agencies or external service providers.

Related Controls: None.

• MEDIA SANITIZATION | NONDESTRUCTIVE TECHNIQUES

Apply nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the system under the following circumstances: [Assignment: organization-defined circumstances requiring sanitization of portable storage devices].

Supplemental Guidance: Portable storage devices can be the source of malicious code insertions into organizational systems. Many of these devices are obtained from untrustworthy sources and may contain malicious code that can be readily transferred to systems through USB ports or other entry portals. While scanning storage devices is recommended, sanitization provides additional assurance that such devices are free of malicious code. Organizations consider nondestructive sanitization of portable storage devices when these devices are purchased from manufacturers or vendors prior to initial use or when organizations cannot maintain a positive chain of custody for the devices.

Related Controls: None.

• MEDIA SANITIZATION | CONTROLLED UNCLASSIFIED INFORMATION

[Withdrawn: Incorporated into MP-6].

• MEDIA SANITIZATION | CLASSIFIED INFORMATION

[Withdrawn: Incorporated into MP-6].

• MEDIA SANITIZATION | MEDIA DESTRUCTION

[Withdrawn: Incorporated into MP-6].

• MEDIA SANITIZATION | DUAL AUTHORIZATION

Enforce dual authorization for the sanitization of [Assignment: organization-defined system media].

Supplemental Guidance: Organizations employ dual authorization to ensure that system media sanitization cannot occur unless two technically qualified individuals conduct the designated task. Individuals sanitizing system media possess sufficient skills and expertise to determine if the proposed sanitization reflects applicable federal and 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.

Related Controls: AC-3, MP-2.

• MEDIA SANITIZATION | REMOTE PURGING OR WIPING OF INFORMATION

Provide the capability to purge or wipe information from [Assignment: organization-defined systems or system components] either remotely or under the following conditions: [Assignment: organization-defined conditions].

Supplemental Guidance: This control enhancement protects data/information on organizational systems and system components if such systems or components 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 or 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.

 

Related Controls: None.

• MEDIA SANITIZATION | DESTRUCTION OF PERSONALLY IDENTIFIABLE INFORMATION

Facilitate the destruction of personally identifiable information by:

• De-identifying the personally identifiable information;
• Proactively reviewing media to actively find personally identifiable information and removing such information; and
• Reviewing media as it is being archived or disposed to find and remove personally identifiable information.

Supplemental Guidance: Disposal or destruction of media containing personally identifiable information applies to originals, copies, and archived records, including system logs that may contain such information. De-identification is the general term for any process of removing the association between a set of identifying data and the data subject and is accomplished in a manner that prevents loss, theft, misuse, or unauthorized access.

Related Controls: SI-20.

References: FIPS Publication 199; NIST Special Publications 800-60-1, 800-60-2, 800-88, 800-

124; NIST Interagency Report 8023.

 

MP-7     MEDIA USE

Control:

1. [Selection: Restrict; Prohibit] the use of [Assignment: organization-defined types of system media] on [Assignment: organization-defined systems or system components] using [Assignment: organization-defined security safeguards]; and
2. Prohibit the use of portable storage devices in organizational systems when such devices have no identifiable owner.

Supplemental Guidance: System media includes digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external or 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. In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards to restrict the use of 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 or 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.

Requiring identifiable owners for portable storage devices reduces the risk of using such devices by allowing organizations to assign responsibility for addressing known vulnerabilities in the devices.

Related Controls: AC-19, AC-20, PL-4, PM-12, SC-34, SC-41.

Control Enhancements:

• MEDIA USE | PROHIBIT USE WITHOUT OWNER

[Withdrawn: Incorporated into MP-7].

• MEDIA USE | PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA

Prohibit the use of sanitization-resistant media in organizational systems.

Supplemental Guidance: Sanitization-resistance refers to non-destructive sanitization techniques and 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.

Related Controls: MP-6.

References: FIPS Publication 199; NIST Special Publication 800-111.

 

MP-8     MEDIA DOWNGRADING

Control:

1. Establish [Assignment: organization-defined system media downgrading process] that includes employing downgrading mechanisms with strength and integrity commensurate with the security category or classification of the information;
2. Verify that the 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;
3. Identify [Assignment: organization-defined system media requiring downgrading]; and
4. Downgrade the identified system media using the established

Supplemental Guidance: This control applies to all system media, digital and non-digital, subject to release outside of the organization, whether the media is considered removable or not removeable. 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. It also ensures that empty space on the media is devoid of information.

Control Enhancements:

• MEDIA DOWNGRADING | DOCUMENTATION OF PROCESS

Document system media downgrading actions.

Supplemental Guidance: Organizations 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.

Related Controls: None.

• MEDIA DOWNGRADING | EQUIPMENT TESTING

Test downgrading equipment and procedures [Assignment: organization-defined frequency] to verify that intended downgrading actions are being achieved.

Supplemental Guidance: None.

Related Controls: None.

• MEDIA DOWNGRADING | CONTROLLED UNCLASSIFIED INFORMATION

Downgrade system media containing [Assignment: organization-defined Controlled Unclassified Information (CUI)] prior to public release.

Supplemental Guidance: None.

Related Controls: None.

• MEDIA DOWNGRADING | CLASSIFIED INFORMATION

Downgrade system media containing classified information prior to release to individuals without required access authorizations.

Supplemental Guidance: Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified systems to unclassified media.

Related Controls: None.

References: None.

 

3.5        PRIVACY AUTHORIZATION

 

Quick link to Privacy Authorization summary table

 

PA-1      PRIVACY AUTHORIZATION POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A privacy authorization policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the privacy authorization policy and the associated privacy authorization controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the privacy authorization policy and procedures;
3. Review and update the current privacy authorization:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the privacy authorization procedures implement the privacy authorization policy and controls; and
5. Develop, document, and implement remediation actions for violations of the privacy authorization

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the PA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PA-2, PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

PA-2      AUTHORITY TO COLLECT

Control: Determine and document the legal authority that permits the collection, use, maintenance, and sharing of personally identifiable information, either generally or in support of a specific program or system need.

 

Supplemental Guidance: Prior to collecting personally identifiable information, organizations determine whether the collection of such information is legally authorized. Organizational officials consult with the Senior Agency Official for Privacy and legal counsel regarding the authority of any program or activity to collect personally identifiable information. The authority to collect personally identifiable information is documented in the System of Records Notice and/or Privacy Impact Assessment or other applicable documentation such as Privacy Act Statements or Computer Matching Agreements.

Related Controls: IP-4, IP-6, PA-1, PA-3, PM-9, PM-20, PM-25, RA-8, SI-12.

Control Enhancements: None.

References: None.

 

PA-3      PURPOSE SPECIFICATION

Control: Identify and document the purpose(s) for which personally identifiable information is collected, used, maintained, and shared in its privacy notices.

Supplemental Guidance: Statutory language often expressly authorizes specific collections and uses of personally identifiable information. When statutory language is written broadly and thus subject to interpretation, organizations consult with the Senior Agency Official for Privacy and legal counsel to verify that there is a close nexus between the general authorization and any specific collection of personally identifiable information. Once the specific purpose has been identified, the purpose is clearly described in the related privacy compliance documentation, including, for example, Privacy Impact Assessments, System of Records Notices, and Privacy Act Statements provided at the time of collection including, for example, on forms organizations use to collect personally identifiable information. Further, in order to avoid unauthorized collections or uses of personally identifiable information, personnel who manage such information receive role-based training as specified in AT-3.

Related Controls: IP-4, IP-5, IP-6, PA-2, PA-4, PM-9, PM-20, PM-26, RA-8, SC-43, SI-12.

Control Enhancements:

• PURPOSE SPECIFICATION | USAGE RESTRICTIONS OF PERSONALLY IDENTIFIABLE INFORMATION

Restrict the use of personally identifiable information to only the authorized purpose(s) consistent with applicable laws or regulations and/or in public notices.

Supplemental Guidance: Organizations take steps to help ensure that personally identifiable information is used only for legally authorized purposes and in a manner, compatible with the uses identified in the Privacy Act and/or in public notices. These steps include, for example, monitoring and auditing organizational use of personally identifiable information and training organizational personnel on the authorized uses of such information. With guidance from the Senior Agency Official for Privacy and where appropriate, legal counsel, organizations document the processes and procedures for evaluating the proposed new uses of personally identifiable information to assess whether such uses fall within the scope of the organizational authorities. Where appropriate, organizations obtain consent from individuals for the new uses of personally identifiable information.

Related Controls: None.

• PURPOSE SPECIFICATION | AUTOMATION

Employ automated mechanisms to support records management of authorizing policies and procedures for personally identifiable information.

Supplemental Guidance: Automated mechanisms may be used to support records management of authorizing policies and procedures for personally identifiable information. Automated mechanisms augment verification that organizational policies and procedures are enforced for the management and tracking of personally identifiable information within an organization’s systems.

Related Controls: CA-6, CM-12, IP-5, PM-29, PM-23, SC-16, SC-43, SI-12, SI-10, SI-15, SI- 20, SI-19.

 

References: None.

 

PA-4      INFORMATION SHARING WITH EXTERNAL PARTIES

Control:

1. Develop, document, and disseminate guidelines to [Assignment: organization-defined personnel or roles] for the sharing of personally identifiable information externally, only for the authorized purposes identified in the Privacy Act and/or described in its notices, or for a purpose that is compatible with those purposes;
2. Evaluate proposed new instances of sharing personally identifiable information with external parties to assess whether:
   1. The sharing is authorized; and
   2. Additional or new public notice is required;
3. Enter into information sharing agreements with external parties that specifically:
   1. Describe the personally identifiable information covered;
   2. Enumerate the purpose(s) for which the personally identifiable information may be used; and
   3. Include security requirements consistent with the information being shared; and
4. Monitor and audit the authorized sharing of personally identifiable information with external parties.

Supplemental Guidance: The Senior Agency Official for Privacy and where appropriate, legal counsel, review and approve proposed external sharing of personally identifiable information, including with other public, international, or private sector entities, for consistency with the uses described in the existing organizational public notice(s). Formal agreements for information sharing include, for example, Memoranda of Understanding, Letters of Intent, Memoranda of Agreement, and Computer Matching Agreements. When a proposed new instance of external sharing of personally identifiable information is not currently authorized by the Privacy Act and/or specified in a notice, organizations evaluate whether the proposed external sharing is compatible with the purpose(s) specified in the notice. If the proposed sharing is compatible, organizations review, update, and republish the Privacy Impact Assessments, System of Records Notices, website privacy policies, and other public notices, if any, to include specific descriptions of the new use(s) and obtain consent where appropriate and feasible.

Related Controls: IP-4, PM-25. Control Enhancements: None. References: None.

 

3.6        PHYSICAL AND ENVIRONMENTAL PROTECTION

 

Quick link to Physical and Environmental Protection summary table

 

PE-1      PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A physical and environmental protection policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the physical and environmental protection policy and the associated physical and environmental protection controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the physical and environmental protection policy and procedures;
3. Review and update the current physical and environmental protection:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the physical and environmental protection procedures implement the physical and environmental protection policy and controls; and
5. Develop, document, and implement remediation actions for violations of the physical and environmental protection

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the PE family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: AT-3, PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

PE-2      PHYSICAL ACCESS AUTHORIZATIONS

Control:

1. Develop, approve, and maintain a list of individuals with authorized access to the facility where the system resides;
2. Issue authorization credentials for facility access;

 

1. Review the access list detailing authorized facility access by individuals [Assignment: organization-defined frequency]; and
2. Remove individuals from the facility access list when access is no longer

Supplemental Guidance: This control applies to employees and visitors. Individuals 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 consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines. This control only applies to areas within facilities that have not been designated as publicly accessible.

Related Controls: AT-3, AU-9, IA-4, MA-5, MP-2, PE-3, PE-4, PE-5, PE-8, PM-12, PS-3, PS-4, PS-5, PS-6.

Control Enhancements:

• PHYSICAL ACCESS AUTHORIZATIONS | ACCESS BY POSITION OR ROLE

Authorize physical access to the facility where the system resides based on position or role.

Supplemental Guidance: None.

Related Controls: AC-2, AC-3, AC-6.

• PHYSICAL ACCESS AUTHORIZATIONS | TWO FORMS OF IDENTIFICATION

Require two forms of identification from [Assignment: organization-defined list of acceptable forms of identification] for visitor access to the facility where the system resides.

Supplemental Guidance: Acceptable forms of identification include, for example, passports, Personal Identity Verification (PIV) cards, and drivers’ licenses. For gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics.

Related Controls: IA-2, IA-4, IA-5.

• PHYSICAL ACCESS AUTHORIZATIONS | RESTRICT UNESCORTED ACCESS

Restrict unescorted access to the facility where the system resides to personnel with [Selection (one or more): security clearances for all information contained within the system; formal access authorizations for all information contained within the system; need for access to all information contained within the system; [Assignment: organization-defined credentials]].

Supplemental Guidance: Due 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.

Related Controls: PS-2, PS-6.

References: FIPS Publication 201; NIST Special Publications 800-76, 800-73, 800-78.

 

PE-3      PHYSICAL ACCESS CONTROL

Control:

1. Enforce physical access authorizations at [Assignment: organization-defined entry and exit points to the facility where the system resides] by;
   1. Verifying individual access authorizations before granting access to the facility; and
   2. Controlling ingress and egress to the facility using [Selection (one or more):

[Assignment: organization-defined physical access control systems or devices]; guards];

1. Maintain physical access audit logs for [Assignment: organization-defined entry/exit points];
2. Provide [Assignment: organization-defined security safeguards] to control access to areas within the facility designated as publicly accessible;
3. Escort visitors and monitor visitor activity [Assignment: organization-defined circumstances requiring visitor escorts and monitoring];

 

1. Secure keys, combinations, and other physical access devices;
2. Inventory [Assignment: organization-defined physical access devices] every [Assignment: organization-defined frequency]; and
3. Change combinations and keys [Assignment: organization-defined frequency] and/or when keys are lost, combinations are compromised, or individuals are transferred or

Supplemental Guidance: This control applies to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional security staff, administrative staff, or system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Physical access control systems comply with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural, automated, or some combination thereof. Physical access points can include facility access points, interior access points to systems or system components requiring supplemental access controls, or both. Components of systems may be in areas designated as publicly accessible with organizations safeguarding access to such devices.

Related Controls: AT-3, AU-2, AU-6, AU-9, AU-13, CP-10, IA-3, IA-8, MA-5, MP-2, MP-4, PE-2,

PE-4, PE-5, PE-8, PS-2, PS-3, PS-7, RA-3, SA-19, SC-28, SI-4.

Control Enhancements:

• PHYSICAL ACCESS CONTROL | SYSTEM ACCESS

Enforce physical access authorizations to the system in addition to the physical access controls for the facility at [Assignment: organization-defined physical spaces containing one or more components of the system].

Supplemental Guidance: This control enhancement provides additional physical security for those areas within facilities where there is a concentration of system components.

Related Controls: PS-2.

• PHYSICAL ACCESS CONTROL | FACILITY AND SYSTEM BOUNDARIES

Perform security checks [Assignment: organization-defined frequency] at the physical boundary of the facility or system for exfiltration of information or removal of system components.

Supplemental Guidance: Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration.

Related Controls: AC-4, SC-7.

• PHYSICAL ACCESS CONTROL | CONTINUOUS GUARDS

Employ guards to control [Assignment: organization-defined physical access points] to the facility where the system resides 24 hours per day, 7 days per week.

Supplemental Guidance: None.

Related Controls: CP-6, CP-7, PE-6.

• PHYSICAL ACCESS CONTROL | LOCKABLE CASINGS

Use lockable physical casings to protect [Assignment: organization-defined system components] from unauthorized physical access.

Supplemental Guidance: None.

Related Controls: None.

• PHYSICAL ACCESS CONTROL | TAMPER PROTECTION

Employ [Assignment: organization-defined security safeguards] to [Selection (one or more): detect; prevent] physical tampering or alteration of [Assignment: organization-defined hardware components] within the system.

Supplemental Guidance: Organizations implement tamper detection and prevention at selected hardware components or tamper detection at some components and tamper prevention at other components. Such detection and 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.

Related Controls: SA-12, SA-16, SA-18.

• PHYSICAL ACCESS CONTROL | FACILITY PENETRATION TESTING

[Withdrawn: Incorporated into CA-8].

• PHYSICAL ACCESS CONTROL | PHYSICAL BARRIERS

Limit access using physical barriers.

Supplemental Guidance: Physical barriers include, for example, bollards, concrete slabs, jersey walls, and hydraulic active vehicle barriers.

Related Controls: None.

References: FIPS Publication 201; NIST Special Publications 800-73, 800-76, 800-78, 800-116.

 

PE-4      ACCESS CONTROL FOR TRANSMISSION

Control: Control physical access to [Assignment: organization-defined system distribution and transmission lines] within organizational facilities using [Assignment: organization-defined security safeguards].

Supplemental Guidance: Security safeguards applied to system distribution and transmission lines prevent accidental damage, disruption, and physical tampering. Such safeguards may also be necessary to help prevent eavesdropping or modification of unencrypted transmissions. Safeguards used to control physical access to system distribution and transmission lines include, for example, locked wiring closets; disconnected or locked spare jacks; protection of cabling by conduit or cable trays; and wiretapping sensors.

Related Controls: AT-3, IA-4, MP-2, MP-4, PE-2, PE-3, PE-5, PE-9, SC-7, SC-8.

Control Enhancements: None.

References: None.

 

PE-5      ACCESS CONTROL FOR OUTPUT DEVICES

Control: Control physical access to output from [Assignment: organization-defined output devices] to prevent unauthorized individuals from obtaining the output.

Supplemental Guidance: Controlling 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; placing output devices in locations that can be monitored by organizational personnel; installing monitor or screen filters; and using headphones. Output devices include, for example, monitors, printers, copiers, scanners, facsimile machines, and audio devices.

Related Controls: PE-2, PE-3, PE-4, PE-18.

Control Enhancements:

• ACCESS CONTROL FOR OUTPUT DEVICES | ACCESS TO OUTPUT BY AUTHORIZED INDIVIDUALS

Verify that only authorized individuals receive output from output devices.

Supplemental Guidance: Methods to ensure only authorized individuals receive output from output devices include, for example, placing printers, copiers, and facsimile machines in controlled areas with keypad or card reader access controls; and limiting access to individuals with certain types of badges.

Related Controls: None.

• ACCESS CONTROL FOR OUTPUT DEVICES | ACCESS TO OUTPUT BY INDIVIDUAL IDENTITY

Link individual identity to receipt of output from output devices.

 

Supplemental Guidance: Methods to link individual identity to receipt of output from output devices include, for example, installing security functionality on facsimile machines, copiers, and printers. Such functionality allows organizations to implement authentication on output devices prior to the release of output to individuals.

Related Controls: None.

• ACCESS CONTROL FOR OUTPUT DEVICES | MARKING OUTPUT DEVICES

Mark [Assignment: organization-defined system output devices] indicating the appropriate security marking of the information permitted to be output from the device.

Supplemental Guidance: Outputs devices include, for example, printers, monitors, facsimile machines, scanners, copiers, and audio devices.

Related Controls: None.

References: NIST Interagency Report 8023.

 

PE-6      MONITORING PHYSICAL ACCESS

Control:

1. Monitor physical access to the facility where the system resides to detect and respond to physical security incidents;
2. Review physical access logs [Assignment: organization-defined frequency] and upon occurrence of [Assignment: organization-defined events or potential indications of events]; and
3. Coordinate results of reviews and investigations with the organizational incident response capability.

Supplemental Guidance: Monitoring of physical access includes publicly accessible areas within organizational facilities. This can be accomplished for example, by the employment of guards; the use of video surveillance equipment such as cameras; or the use of sensor devices. Organizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, security violations or suspicious physical access activities. Suspicious physical access activities include, for example, accesses outside of normal work hours; repeated accesses to areas not normally accessed; accesses for unusual lengths of time; and out-of-sequence accesses.

Related Controls: AU-6, AU-9, CA-7, CP-10, IR-4, IR-8.

Control Enhancements:

• MONITORING PHYSICAL ACCESS | INTRUSION ALARMS AND SURVEILLANCE EQUIPMENT

Monitor physical access to the facility where the system resides using physical intrusion alarms and surveillance equipment.

Supplemental Guidance: None.

Related Controls: None.

• MONITORING PHYSICAL ACCESS | AUTOMATED INTRUSION RECOGNITION AND RESPONSES

Employ automated mechanisms to recognize [Assignment: organization-defined classes or types of intrusions] and initiate [Assignment: organization-defined response actions].

Supplemental Guidance: None.

Related Controls: SI-4.

• MONITORING PHYSICAL ACCESS | VIDEO SURVEILLANCE

Employ video surveillance of [Assignment: organization-defined operational areas] and retain video recordings for [Assignment: organization-defined time-period].

Supplemental Guidance: This control enhancement focuses on recording surveillance video for purposes of subsequent review, if circumstances so warrant. 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.

Related Controls: None.

• MONITORING PHYSICAL ACCESS | MONITORING PHYSICAL ACCESS TO SYSTEMS

Monitor physical access to the system in addition to the physical access monitoring of the facility at [Assignment: organization-defined physical spaces containing one or more components of the system].

Supplemental Guidance: This control enhancement provides additional monitoring for those areas within facilities where there is a concentration of system components including, for example, server rooms, media storage areas, and communications centers.

Related Controls: None.

References: None.

 

PE-7      VISITOR CONTROL

[Withdrawn: Incorporated into PE-2 and PE-3].

 

PE-8      VISITOR ACCESS RECORDS

Control:

1. Maintain visitor access records to the facility where the system resides for [Assignment: organization-defined time-period]; and
2. Review visitor access records [Assignment: organization-defined frequency].

Supplemental Guidance: Visitor access records include, for example, names and organizations of persons visiting; visitor signatures; forms of identification; dates of access; entry and departure times; purpose of visits; and names and organizations of persons visited. Access records are not required for publicly accessible areas.

Control Enhancements:

• VISITOR ACCESS RECORDS | AUTOMATED RECORDS MAINTENANCE AND REVIEW

Employ automated mechanisms to facilitate the maintenance and review of visitor access records.

Supplemental Guidance: None.

Related Controls: None.

• VISITOR ACCESS RECORDS | PHYSICAL ACCESS RECORDS

[Withdrawn: Incorporated into PE-2].

References: None.

 

PE-9      POWER EQUIPMENT AND CABLING

Control: Protect power equipment and power cabling for the system from damage and destruction.

Supplemental Guidance: Organizations determine the types of protection necessary for the 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.

Related Controls: PE-4.

Control Enhancements:

• POWER EQUIPMENT AND CABLING | REDUNDANT CABLING

Employ redundant power cabling paths that are physically separated by [Assignment: organization-defined distance].

 

Supplemental Guidance: Physically separate and redundant power cables ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.

Related Controls: None.

• POWER EQUIPMENT AND CABLING | AUTOMATIC VOLTAGE CONTROLS

Employ automatic voltage controls for [Assignment: organization-defined critical system components].

Supplemental Guidance: Automatic voltage controls can monitor and control voltage. Such controls include, for example, voltage regulators, voltage conditioners, and voltage stabilizers.

Related Controls: None.

References: None.

 

PE-10    EMERGENCY SHUTOFF

Control:

1. Provide the capability of shutting off power to the system or individual system components in emergency situations;
2. Place emergency shutoff switches or devices in [Assignment: organization-defined location by system or system component] to facilitate safe and easy access for personnel; and
3. Protect emergency power shutoff capability from unauthorized

Supplemental Guidance: This control applies primarily to facilities containing concentrations of system resources including, for example, data centers, server rooms, rooms/buildings containing computer-controlled machinery, and mainframe computer rooms.

Related Controls: PE-15.

Control Enhancements:

(1) EMERGENCY SHUTOFF | ACCIDENTAL AND UNAUTHORIZED ACTIVATION

[Withdrawn: Incorporated into PE-10].

References: None.

 

PE-11    EMERGENCY POWER

Control: Provide a short-term uninterruptible power supply to facilitate [Selection (one or more): an orderly shutdown of the system; transition of the system to long-term alternate power] in the event of a primary power source loss.

Supplemental Guidance: None. Related Controls: AT-3, CP-2, CP-7. Control Enhancements:

• EMERGENCY POWER | LONG-TERM ALTERNATE POWER SUPPLY — MINIMAL OPERATIONAL CAPABILITY

Provide a long-term alternate power supply for the system that can maintain minimally required operational capability in the event of an extended loss of the primary power source.

Supplemental Guidance: This control enhancement can be satisfied, for example, by using a secondary commercial power supply or other external power supply. The long-term alternate power supplies for organizational systems are either manually or automatically activated.

Related Controls: None.

• EMERGENCY POWER | LONG-TERM ALTERNATE POWER SUPPLY — SELF-CONTAINED

Provide a long-term alternate power supply for the system that is:

• Self-contained;
• Not reliant on external power generation; and

 

• Capable of maintaining [Selection: minimally required operational capability; full operational capability] in the event of an extended loss of the primary power

Supplemental Guidance: This control enhancement can be satisfied, for example, by using one or more generators with sufficient capacity to meet the needs of the organization. Long-term alternate power supplies for organizational systems are either manually or automatically activated.

Related Controls: None.

References: None.

 

PE-12    EMERGENCY LIGHTING

Control: Employ and maintain automatic emergency lighting for the system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.

Supplemental Guidance: This control applies primarily to facilities containing concentrations of system resources including, for example, data centers, server rooms, and mainframe computer rooms.

Related Controls: CP-2, CP-7.

Control Enhancements:

(1) EMERGENCY LIGHTING | ESSENTIAL MISSIONS AND BUSINESS FUNCTIONS

Provide emergency lighting for all areas within the facility supporting essential missions and business functions.

Supplemental Guidance: None.

Related Controls: None.

References: None.

 

PE-13    FIRE PROTECTION

Control: Employ and maintain fire suppression and detection devices/systems for the system that are supported by an independent energy source.

Supplemental Guidance: This control applies primarily to facilities containing concentrations of system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices or systems that may require an independent energy source include, for example, sprinkler systems, fixed fire hoses, and smoke detectors.

Related Controls: AT-3.

Control Enhancements:

• FIRE PROTECTION | DETECTION DEVICES AND SYSTEMS

Employ fire detection devices/systems for the system that activate automatically and notify [Assignment: organization-defined personnel or roles] and [Assignment: organization-defined emergency responders] in the event of a fire.

Supplemental Guidance: Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are systems containing classified information.

Related Controls: None.

• FIRE PROTECTION | AUTOMATIC SUPPRESSION DEVICES AND SYSTEMS
  • Employ fire suppression devices/systems for the system that provide automatic notification of any activation to [Assignment: organization-defined personnel or roles] and [Assignment: organization-defined emergency responders]; and
  • Employ an automatic fire suppression capability for the system when the facility is not staffed on a continuous

 

Supplemental Guidance: Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are systems containing classified information.

Related Controls: None.

• FIRE PROTECTION | AUTOMATIC FIRE SUPPRESSION

[Withdrawn: Incorporated into PE-13(2)].

• FIRE PROTECTION | INSPECTIONS

Verify that the facility undergoes [Assignment: organization-defined frequency] fire protection inspections by authorized and qualified inspectors and resolves identified deficiencies within [Assignment: organization-defined time-period].

Supplemental Guidance: None.

Related Controls: None.

References: None.

 

PE-14    TEMPERATURE AND HUMIDITY CONTROLS

Control:

1. Maintain temperature and humidity levels within the facility where the system resides at [Assignment: organization-defined acceptable levels]; and
2. Monitor temperature and humidity levels [Assignment: organization-defined frequency].

Supplemental Guidance: This control applies primarily to facilities containing concentrations of system resources, for example, data centers, server rooms, and mainframe computer rooms.

Related Controls: AT-3, CP-2.

Control Enhancements:

• TEMPERATURE AND HUMIDITY CONTROLS | AUTOMATIC CONTROLS

Employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the system.

Supplemental Guidance: None.

Related Controls: None.

• TEMPERATURE AND HUMIDITY CONTROLS | MONITORING WITH ALARMS AND NOTIFICATIONS

Employ temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment to [Assignment: organization-defined personnel or roles].

Supplemental Guidance: None.

Related Controls: None.

References: None.

 

PE-15    WATER DAMAGE PROTECTION

Control: Protect the system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.

Supplemental Guidance: This control applies primarily to facilities containing concentrations of 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.

Related Controls: AT-3, PE-10.

 

Control Enhancements:

(1) WATER DAMAGE PROTECTION | AUTOMATION SUPPORT

Employ automated mechanisms to detect the presence of water near the system and alert [Assignment: organization-defined personnel or roles].

Supplemental Guidance: Automated mechanisms include, for example, water detection sensors, alarms, and notification systems.

Related Controls: None.

References: None.

 

PE-16    DELIVERY AND REMOVAL

Control: Authorize, monitor, and control [Assignment: organization-defined types of system components] entering and exiting the facility and maintain records of those items.

Supplemental Guidance: Enforcing authorizations for entry and exit of system components may require restricting access to delivery areas and isolating the areas from the system and media libraries.

Related Controls: CM-3, MA-2, MA-3, MP-5, SA-12.

Control Enhancements: None.

References: None.

 

PE-17    ALTERNATE WORK SITE

Control:

1. Determine and document the [Assignment: organization-defined alternate work sites] allowed for use by employees;
2. Employ [Assignment: organization-defined security and privacy controls] at alternate work sites;
3. Assess the effectiveness of security and privacy controls at alternate work sites; and
4. Provide a means for employees to communicate with information security and privacy personnel in case of security or privacy incidents or

Supplemental Guidance: Alternate work sites include, for example, government facilities or private residences of employees. While distinct from alternative processing sites, alternate work sites can provide readily available alternate locations during contingency operations. Organizations can define different sets of 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.

Related Controls: AC-17, AC-18, CP-7.

Control Enhancements: None.

References: NIST Special Publication 800-46.

 

PE-18    LOCATION OF SYSTEM COMPONENTS

Control: Position system components within the facility to minimize potential damage from [Assignment: organization-defined physical and environmental hazards] and to minimize the opportunity for unauthorized access.

Supplemental Guidance: Physical 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. Organizations also consider the location of entry points where unauthorized individuals, while not being granted access, might

 

nonetheless be near systems. Such proximity can increase the risk of unauthorized access to organizational communications, including, for example, using wireless sniffers or microphones.

Related Controls: CP-2, PE-5, PE-19, PE-20, RA-3.

Control Enhancements:

• LOCATION OF SYSTEM COMPONENTS | FACILITY SITE
  • Plan the location or site of the facility where the system resides considering physical and environmental hazards; and
  • For existing facilities, consider the physical and environmental hazards in the organizational risk management

Supplemental Guidance: None.

Related Controls: PM-8.

References: None.

 

PE-19    INFORMATION LEAKAGE

Control: Protect the system from information leakage due to electromagnetic signals emanations.

Supplemental Guidance: Information leakage is the intentional or unintentional release of data or information to an untrusted environment from electromagnetic signals emanations. The security categories or classifications of systems (with respect to confidentiality), organizational security policies, and risk tolerance guide the selection of controls employed to protect systems against information leakage due to electromagnetic signals emanations.

Related Controls: AC-18, PE-18, PE-20.

Control Enhancements:

(1) INFORMATION LEAKAGE | NATIONAL EMISSIONS AND TEMPEST POLICIES AND PROCEDURES

Protect system components, associated data communications, and networks in accordance with national Emissions Security policies and procedures based on the security category or classification of the information.

Supplemental Guidance: Emissions Security (EMSEC) policies include the former TEMPEST policies.

Related Controls: None.

References: FIPS Publication 199.

 

PE-20    ASSET MONITORING AND TRACKING

Control: Employ [Assignment: organization-defined asset location technologies] to track and monitor the location and movement of [Assignment: organization-defined assets] within [Assignment: organization-defined controlled areas].

Supplemental Guidance: Asset location technologies can help organizations ensure that critical assets, including, for example, vehicles, equipment, or essential system components remain in authorized locations. Organizations consult with the Office of the General Counsel and the Senior Agency Official for Privacy regarding the deployment and use of asset location technologies to address potential privacy concerns.

Related Controls: CM-8, PM-8. Control Enhancements: None. References: None.

PE-21    ELECTROMAGNETIC PULSE PROTECTION

Control: Employ [Assignment: organization-defined security safeguards] against electromagnetic pulse damage for [Assignment: organization-defined systems and system components].

 

Supplemental Guidance: An electromagnetic pulse (EMP) is a short burst of electromagnetic energy that is spread over a range of frequencies. Such energy bursts may be natural or man-made. EMP interference may be disruptive or damaging to electronic equipment. Protective measures used to mitigate EMP risk include shielding, surge suppressors, ferro-resonant transformers, and earth grounding.

Related Controls: PE-18, PE-19.

Control Enhancements: None.

References: None.

 

PE-22    COMPONENT MARKING

Control: Mark [Assignment: organization-defined system hardware components] indicating the impact or classification level of the information permitted to be processed, stored, or transmitted by the hardware component.

Supplemental Guidance: Hardware components that may require marking include, for example, input devices marked to indicate the classification of the network to which they are connected or a multifunction function printer or copier residing in a classified area. Security marking refers to the application or use of human-readable security attributes. Security labeling refers to the application or use of security attributes regarding internal data structures within systems. Security marking is generally not required for hardware components processing, storing, or transmitting information determined by organizations to be in the public domain or to be publicly releasable. However, organizations may require markings for hardware components processing, storing, or transmitting public information indicating that such information is publicly releasable. The marking of system hardware components reflects applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.

Related Controls: AC-16, MP-3.

Control Enhancements: None.

References: None.

 

3.7        PLANNING

 

Quick link to Planning summary table

 

PL-1       PLANNING POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. Security and privacy planning policies that:
      • Address purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Are consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the security and privacy planning policies and the associated security and privacy planning controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the security and privacy planning policies and procedures;
3. Review and update the current security and privacy planning:
   1. Policies [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the security and privacy planning procedures implement the security and privacy planning policies and controls; and
5. Develop, document, and implement remediation actions for violations of the planning

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the PL family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policies or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed.

Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-18, 800-30, 800-39, 800-100.

 

PL-2       SECURITY AND PRIVACY PLANS

Control:

1. Develop security and privacy plans for the system that:
   1. Are consistent with the organization’s enterprise architecture;
   2. Explicitly define the authorization boundary for the system;

 

3. Describe the operational context of the system in terms of missions and business processes;
4. Provide the security categorization of the system including supporting rationale;
5. Describe the operational environment for the system and relationships with or connections to other systems;
6. Provide an overview of the security and privacy requirements for the system;
7. Identify any relevant overlays, if applicable;
8. Describe the security and privacy controls in place or planned for meeting those requirements including a rationale for the tailoring decisions; and
9. Are reviewed and approved by the authorizing official or designated representative prior to plan implementation;

1. Distribute copies of the security and privacy plans and communicate subsequent changes to the plans to [Assignment: organization-defined personnel or roles];
2. Review the security and privacy plans [Assignment: organization-defined frequency];
3. Update the security and privacy plans to address changes to the system and environment of operation or problems identified during plan implementation or security and privacy control assessments; and
4. Protect the security and privacy plans from unauthorized disclosure and

Supplemental Guidance: Security and privacy plans relate security and privacy requirements to a set of security and privacy controls and control enhancements. The plans describe how the security and privacy controls and control enhancements meet those security and privacy requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls and control enhancements. Security and privacy 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 control baselines in Appendix D to develop overlays for community-wide use or to address specialized requirements, technologies, missions, business applications, or environments of operation.

Security and privacy plans need not be single documents. The plans can be a collection of various documents including documents that already exist. Effective security and privacy plans make extensive use of references to policies, procedures, and additional documents including, for example, design and implementation specifications where more detailed information can be obtained. This reduces the documentation associated with security and privacy programs and maintains the security- and privacy-related information in other established management and operational areas including, for example, enterprise architecture, system development life cycle, systems engineering, and acquisition. Thus, security and privacy 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.

Related Controls: AC-2, AC-6, AC-14, AC-17, AC-20, CA-2, CA-3, CA-7, CM-9, CP-2, IR-8,

MA-4, MA-5, MP-4, MP-5, PL-7, PL-8, PM-1, PM-7, PM-8, PM-9, PM-10, PM-11, RA-3, RA-9, SA-5, SA-17, SA-22, SI-12.

Control Enhancements:

• SECURITY AND PRIVACY PLANS | CONCEPT OF OPERATIONS

[Withdrawn: Incorporated into PL-7].

• SECURITY AND PRIVACY PLANS | FUNCTIONAL ARCHITECTURE

[Withdrawn: Incorporated into PL-8].

 

• SECURITY AND PRIVACY PLANS | PLAN AND COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES

Plan and coordinate security- and privacy-related activities affecting the system with [Assignment: organization-defined individuals or groups] before conducting such activities to reduce the impact on other organizational entities.

Supplemental Guidance: Security- and privacy-related activities include, for example, security and privacy assessments, audits and inspections, hardware and software maintenance, patch management, and contingency plan testing. Planning and coordination includes emergency and nonemergency (i.e., planned or non-urgent unplanned) situations. The process defined by organizations to plan and coordinate security- and privacy-related activities can be included in security and privacy plans for systems or other documents, as appropriate.

Related Controls: CP-4, IR-4.

References: NIST Special Publication 800-18.

 

PL-3       SYSTEM SECURITY PLAN UPDATE

[Withdrawn: Incorporated into PL-2].

 

PL-4       RULES OF BEHAVIOR

Control:

1. Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy;
2. Receive a documented 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 system;
3. Review and update the rules of behavior [Assignment: organization-defined frequency]; and
4. Require individuals who have signed a previous version of the rules of behavior to read and re-sign [Selection (one or more): [Assignment: organization-defined frequency]; when the rules are revised or updated.]

Supplemental Guidance: This 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 the general user population. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data or information from federal 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 organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4b, the documented acknowledgment portion of the control, may be satisfied by the security and privacy awareness training and the role-based security and privacy training programs conducted by organizations if such training includes rules of behavior. Documented acknowledgements for rules of behavior may include, for example, electronic or physical signatures; and electronic agreement check boxes/radio buttons.

Related Controls: AC-2, AC-6, AC-8, AC-9, AC-17, AC-18, AC-19, AC-20, AT-2, AT-3, CM-11, IA-2, IA-4, IA-5, MP-7, PS-6, PS-8, SA-5, SI-12.

Control Enhancements:

(1) RULES OF BEHAVIOR | SOCIAL MEDIA AND NETWORKING RESTRICTIONS

Include in the rules of behavior, explicit restrictions on the use of social media and networking sites and posting organizational information on public websites.

Supplemental Guidance: This control enhancement addresses rules of behavior related to the use of social media and networking sites when organizational personnel are using such sites for official duties or in the conduct of official business; when organizational information is involved in social media and networking transactions; and when personnel are accessing

 

social media and networking sites from organizational systems. Organizations also address specific rules that prevent unauthorized entities from obtaining, either directly or through inference, non-public organizational information from social media and networking sites. Examples of non-public information include system account information and personally identifiable information.

Related Controls: None.

References: NIST Special Publication 800-18.

 

PL-5       PRIVACY IMPACT ASSESSMENT

[Withdrawn: Incorporated into RA-8].

 

PL-6       SECURITY-RELATED ACTIVITY PLANNING

[Withdrawn: Incorporated into PL-2].

 

PL-7       CONCEPT OF OPERATIONS

Control:

1. Develop a Concept of Operations (CONOPS) for the system describing how the organization intends to operate the system from the perspective of information security and privacy; and
2. Review and update the CONOPS [Assignment: organization-defined frequency].

Supplemental Guidance: The security and privacy CONOPS may be included in the security or privacy plans for the system or in other system development life cycle documents, as appropriate. Changes to the CONOPS are reflected in ongoing updates to the security and privacy plans, the security and privacy architectures, and other appropriate organizational documents, including, for example, system development life cycle documents, procurement specifications, and systems engineering documents.

Related Controls: PL-2, SA-2, SI-12.

Control Enhancements: None.

References: None.

 

PL-8       SECURITY AND PRIVACY ARCHITECTURES

Control:

1. Develop security and privacy architectures for the system that:
   1. Describe the philosophy, requirements, and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;
   2. Describe the philosophy, requirements, and approach to be taken for processing personally identifiable information;
   3. Describe how the security and privacy architectures are integrated into and support the enterprise architecture; and
   4. Describe any security- and privacy-related assumptions about, and dependencies on, external services;
2. Review and update the security and privacy architectures [Assignment: organization-defined frequency] to reflect updates in the enterprise architecture; and
3. Reflect planned security and privacy architecture changes in the security and privacy plans, the Concept of Operations (CONOPS), and organizational procurements and

Supplemental Guidance: This control addresses actions taken by organizations in the design and development of systems. The security and privacy architectures at the system level are consistent

 

with and complement the organization-wide security and privacy architectures described in PM-7 that are integral to and developed as part of the enterprise architecture. The security and privacy architectures include an architectural description, the placement and allocation of security and privacy functionality (including security and privacy controls), security- and privacy-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security and privacy architectures can include other information, for example, user roles and the access privileges assigned to each role, unique security and privacy requirements, types of information processed, stored, and transmitted by the system, restoration priorities of information and system services, and any other specific protection needs.

In today’s modern computing architectures, it is becoming less common for organizations to control all information resources. There may be key dependencies on external information services and service providers. Describing such dependencies in the security and privacy architectures is important to developing a comprehensive mission and business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational systems is critical to implementing and maintaining effective security and privacy architectures. The development of the security and privacy architectures is coordinated with the Senior Agency Information Security Officer and the Senior Agency Official for Privacy to ensure that security and privacy controls needed to support security and privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations to ensure that they develop security and privacy architectures for the system, and that the architectures are integrated with or tightly coupled to the enterprise architecture through the organization-wide security and privacy architectures. In contrast, SA-17 is primarily directed at external information technology product and system developers and integrators. SA-17, which is complementary to PL- 8, is selected when organizations outsource the development of systems or system components to external entities, and there is a need to demonstrate consistency with the organization’s enterprise architecture and security and privacy architectures.

Related Controls: CM-2, CM-6, PL-2, PL-7, PL-9, PM-7, PM-29, RA-9, SA-3, SA-5, SA-8, SA-17.

Control Enhancements:

• SECURITY AND PRIVACY ARCHITECTURES | DEFENSE-IN-DEPTH

Design the security and privacy architectures for the system using a defense-in-depth approach that:

• Allocates [Assignment: organization-defined security and privacy safeguards] to [Assignment: organization-defined locations and architectural layers]; and
• Ensures that the allocated security and privacy safeguards operate in a coordinated and mutually reinforcing

Supplemental Guidance: Organizations strategically allocate security safeguards (procedural, technical, or both) in the security architecture so that adversaries must overcome multiple safeguards to achieve their objective. Requiring adversaries to defeat multiple mechanisms makes it more difficult to successfully attack critical information resources by increasing the work factor of the adversary. It 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 by interfering with other safeguards. Examples of such unintended consequences include system lockout and cascading alarms. Placement of security safeguards is an important activity requiring thoughtful analysis. The criticality or value of the organizational asset is a key consideration in providing additional layering.

Related Controls: SC-29, SC-36.

• SECURITY AND PRIVACY ARCHITECTURES | SUPPLIER DIVERSITY

Require that [Assignment: organization-defined security and privacy safeguards] allocated to [Assignment: organization-defined locations and architectural layers] are obtained from different suppliers.

Supplemental Guidance: Different 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 based on their priorities and development schedules. By having different products at different locations there is an increased likelihood that at least one will detect the malicious code.

Related Controls: SA-12, SC-29.

References: None.

 

PL-9     CENTRAL MANAGEMENT

Control: Centrally manage [Assignment: organization-defined security and privacy controls and related processes].

Supplemental Guidance: Central management refers to the organization-wide management and implementation of selected security and privacy controls and related processes. This includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed controls and processes. As the central management of security and privacy controls is generally associated with the concept of common controls, such management promotes and facilitates standardization of control implementations and management and judicious use of organizational resources. Centrally-managed controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate and as part of organizational continuous monitoring. As part of the security and privacy control selection processes, organizations determine which controls may be suitable for central management based on organizational resources and capabilities. It is not always possible to centrally manage every aspect of a security or privacy control. In such cases, the control can be treated as a hybrid control with the control managed and implemented centrally or at the system level. Those 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.

Related Controls: PL-8, PM-9.

Control Enhancements: None.

References: NIST Special Publication 800-37.

 

PL-10    BASELINE SELECTION

Control: Select a control baseline for the system.

Supplemental Guidance: The selection of an appropriate control baseline is determined by the needs of organizational stakeholders. Stakeholder needs and concerns consider mission and business requirements and mandates imposed by applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. For example, the three control baselines in Appendix D are based on the requirements from the Federal Information Security Modernization Act (FISMA) and the Privacy Act. These requirements, along with the NIST standards and guidelines implementing the legislation, require organizations to select one of the control baselines after the reviewing the information types and the information that is processed, stored, and transmitted on organizational systems; analyzing the potential adverse impact or consequences of the loss or compromise of the system or information on the organization’s operations and assets, individuals, other organizations or the Nation; and considering the results from organizational and system assessments of risk.

Nonfederal organizations that are part of other communities of interest including the U.S. critical infrastructure sectors, can develop similar control baselines (using the controls in Chapter Three) that represent the needs and concerns of those entities.

Related Controls: PL-11, RA-2, RA-3, SA-8.

Control Enhancements: None.

 

References: FIPS Publications 199, 200; NIST Special Publications 800-30, 800-37, 800-39, 800-

60-1, 800-60-2, 800-160.

 

PL-11    BASELINE TAILORING

Control: Tailor the selected control baseline by applying specified tailoring actions.

Supplemental Guidance: The concept of tailoring allows organizations to specialize or customize a set of baseline controls by applying a defined set of tailoring actions. These actions facilitate such specialization and customization by allowing organizations to develop security and privacy plans that reflect their specific missions and business functions, the environments where their systems operate, the threats and vulnerabilities that can affect their systems, and any other conditions or situations that can impact their mission or business success. The tailoring actions are described in Appendix G. Tailoring a control baseline is accomplished by identifying and designating common controls; applying scoping considerations; selecting compensating controls; assigning values to control parameters; supplementing the control baseline with additional controls, as needed; and providing information for control implementation. The general tailoring actions in Appendix G can be supplemented with additional actions based on the needs of organizations. Tailoring actions can be applied to the baselines in Appendix D in accordance with the security requirements from the Federal Information Security Modernization Act (FISMA) and the privacy requirements from the Privacy Act. Alternatively, other communities of interest adopting different control baselines can apply the tailoring actions in Appendix G to specialize or customize the controls that represent the specific needs and concerns of those entities.

Related Controls: PL-10, RA-2, RA-3, RA-9, SA-8, SA-12.

Control Enhancements: None.

References: FIPS Publications 199, 200; NIST Special Publications 800-30, 800-37, 800-39, 800-

160.

 

3.15     PROGRAM MANAGEMENT

 

Quick link to Program Management summary table

 

PM-1     INFORMATION SECURITY PROGRAM PLAN

Control:

1. Develop and disseminate an organization-wide information security program plan that:
   1. Provides 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;
   2. Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;
   3. Reflects the coordination among organizational entities responsible for information security; and
   4. Is 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;
2. Review the organization-wide information security program plan [Assignment: organization- defined frequency];
3. Update the information security program plan to address organizational changes and problems identified during plan implementation or control assessments; and
4. Protect the information security program plan from unauthorized disclosure and

Supplemental Guidance: Information 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.

Security plans for individual systems and the organization-wide information security program plan, 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 a system. 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. For 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 Facilities Management Office may 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 system but instead, support multiple systems.

Related Controls: PL-2, PM-8, PM-12, RA-9, SA-12, SI-12.

Control Enhancements: None.

References: None.

 

PM-2     INFORMATION SECURITY PROGRAM ROLES

Control:

1. Appoint a Senior Agency Information Security Officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program;
2. Appoint a Senior Accountable Official for Risk Management to align information security management proceeses with strategic, operational, and budgetary planning procceses; and
3. Appoint a Risk Executive (function) to view and analyze risk from an organization-wide perspective and ensure management of risk is consistent across the

Supplemental Guidance: The senior information security officer is an organizational official. For federal agencies (as defined by applicable laws, Executive Orders, regulations, directives, policies, and standards), 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. The senior accountable official for risk management leads the risk executive (function) in organization-wide risk management activities.

Related Controls: None.

Control Enhancements: None.

References: NIST Special Publications 800-37, 800-39; OMB Memorandum 17-25.

 

PM-3     INFORMATION SECURITY AND PRIVACY RESOURCES

Control:

1. Include the resources needed to implement the information security and privacy programs in capital planning and investment requests and document all exceptions to this requirement;
2. Prepare documentation required for addressing information security and privacy programs in capital planning and investment requests in accordance with applicable laws, Executive Orders, directives, policies, regulations, standards; and
3. Make available for expenditure, the planned information security and privacy

Supplemental Guidance: Organizations consider establishing champions for information security and privacy 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-and privacy-related aspects of the capital planning and investment control process.

Related Controls: PM-4, SA-2.

Control Enhancements: None.

References: NIST Special Publication 800-65.

 

PM-4     PLAN OF ACTION AND MILESTONES PROCESS

Control:

1. Implement a process to ensure that plans of action and milestones for the security and privacy programs and associated organizational systems:
   1. Are developed and maintained;
   2. Document the remedial information security and privacy actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and
   3. Are reported in accordance with established reporting

 

1. Review plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response

Supplemental Guidance: The plan of action and milestones is a key document in the information security and privacy programs and is subject to reporting requirements established by the Office of Management and Budget. Organizations view plans of action and milestones from an enterprise- wide 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 control assessments and continuous monitoring activities.

Related Controls: CA-5; CA-7, PM-3, RA-7, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-37.

 

PM-5     SYSTEM INVENTORY

Control: Develop and maintain an inventory of organizational systems.

Supplemental Guidance: OMB provides guidance on developing systems inventories and associated reporting requirements. This control refers to an organization-wide inventory of systems, not system components as described in CM-8.

Related Controls: None. Control Enhancements: None. References: None.

PM-6     MEASURES OF PERFORMANCE

Control: Develop, monitor, and report on the results of information security and privacy measures of performance.

Supplemental Guidance: Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security and privacy programs and the security and privacy controls employed in support of the program.

Related Controls: CA-7.

Control Enhancements: None.

References: NIST Special Publications 800-55, 800-137.

 

PM-7     ENTERPRISE ARCHITECTURE

Control: Develop an enterprise architecture with consideration for information security, privacy, and the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation.

Supplemental Guidance: The integration of security and privacy requirements and controls into the enterprise architecture ensures that security and privacy considerations are addressed early in the system development life cycle and are directly and explicitly related to the organization’s mission and business processes. The process of security and privacy requirements integration also embeds into the enterprise architecture, the organization’s security and privacy architectures consistent with the organizational risk management and information security and privacy strategies. For PM- 7, the security and privacy architectures are developed at a system-of-systems level, representing all organizational systems. For PL-8, the security and privacy architectures are developed at a level representing an individual system. The system-level architectures are consistent with the security and privacy architectures defined for the organization. Security and privacy requirements and control integration are most effectively accomplished through the rigorous application of the Risk Management Framework and supporting security standards and guidelines.

 

Related Controls: AU-6, PL-2, PL-8, PM-11, RA-2, SA-3, SA-8, SA-17.

Control Enhancements: None.

References: NIST Special Publication 800-39.

 

PM-8     CRITICAL INFRASTRUCTURE PLAN

Control: Address information security and privacy issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.

Supplemental Guidance: Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.

Related Controls: CP-2, CP-4, PE-18, PL-2, PM-1, PM-9, PM-11, PM-18, RA-3, SI-12.

Control Enhancements: None.

References: HSPD 7; National Infrastructure Protection Plan.

 

PM-9     RISK MANAGEMENT STRATEGY

Control:

1. Develops a comprehensive strategy to manage:
   1. Security risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of organizational systems;
   2. Privacy risk to individuals resulting from the collection, sharing, storing, transmitting, use, and disposal of personally identifiable information; and
   3. Supply chain risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services;
2. Implement the risk management strategy consistently across the organization; and
3. Review and update the risk management strategy [Assignment: organization-defined frequency] or as required, to address organizational

Supplemental Guidance: An organization-wide risk management strategy includes, for example, an expression of the security, privacy, and supply chain risk tolerance for the organization; acceptable risk assessment methodologies; security, privacy, and supply chain risk mitigation strategies; a process for consistently evaluating security, privacy, and supply chain risk across the organization with respect to the organization’s risk tolerance; and approaches for monitoring risk over time.

The senior accountable official for risk management (agency head or designated official) aligns information security management proceeses with strategic, operational, and budgetary planning procceses. The use of a risk executive function, led by the senior accountable official for risk management, can facilitate consistent application of the risk management strategy organization- wide. The organization-wide risk management strategy can be informed by security, privacy, and supply chain risk-related inputs from other sources, internal and external to the organization, to ensure the strategy is both broad-based and comprehensive.

Related Controls: All XX-1 Controls, CA-2, CA-5, CA-6, CA-7, IP-1, PA-1, PA-2, PA-3, PL-2, PM-8, PM-18, PM-31, PM-32, RA-3, RA-9, SA-4, SA-12, SC-38, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-30, 800-39, 800-161; NIST Interagency Report 8023.

 

PM-10 AUTHORIZATION PROCESS

Control:

1. Manage the security and privacy state of organizational systems and the environments in which those systems operate through authorization processes;
2. Designate individuals to fulfill specific roles and responsibilities within the organizational risk management process; and
3. Integrate the authorization processes into an organization-wide risk management

Supplemental Guidance: Authorization processes for organizational systems and environments of operation require the implementation of an organization-wide risk management process, a Risk Management Framework, and associated security and privacy standards and guidelines. Specific roles for risk management processes include a risk executive (function) and designated authorizing officials for each organizational system and common control provider. The organizational authorization processes are integrated with continuous monitoring processes to facilitate ongoing understanding and acceptance of security and privacy risks to organizational operations and assets, individuals, other organizations, and the Nation.

Related Controls: CA-6, CA-7, PL-2.

Control Enhancements: None.

References: NIST Special Publications 800-37, 800-39.

 

PM-11 MISSION AND BUSINESS PROCESS DEFINITION

Control:

1. Define organizational mission and business processes with consideration for information security and privacy and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and
2. Determine information protection and personally identifiable information processing needs arising from the defined mission and business processes; and
3. Review and revise the mission and business processes [Assignment: organization-defined frequency], until achievable protection and personally identifiable information processing needs are

Supplemental Guidance: Protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, systems, and the Nation through the compromise of information (i.e., loss of confidentiality, integrity, availability, or privacy). Information protection and personally identifiable information processing needs are derived from mission and business needs defined by the stakeholders in organizations, the mission and business processes defined to meet those needs, and the organizational risk management strategy. Information protection and personally identifiable information processing needs determine the required security and privacy controls for the organization and the systems supporting the mission and business processes.

Inherent in defining the protection and personally identifiable information processing needs, is an understanding of adverse impact or consequences that could result if a compromise of information occurs. The categorization process is used to make such potential impact determinations. Privacy risks to individuals can arise from the compromise of personally identifiable information, but they can also arise as unintended consequences or a byproduct of authorized processing of information at any stage of the data life cycle. Privacy risk assessments are used to prioritize the risks that are created for individuals from system processing of personally identifiable information. These risk assessments enable the selection of the required privacy controls for the organization and systems supporting the mission and business processes. Mission and business process definitions and the associated protection requirements are documented in accordance with organizational policy and procedures.

Related Controls: CP-2, PL-2, PM-7, PM-8, RA-2, SA-2.

 

Control Enhancements: None.

References: FIPS Publication 199; NIST Special Publication 800-60-1, 800-60-2.

 

PM-12 INSIDER THREAT PROGRAM

Control: Implement an insider threat program that includes a cross-discipline insider threat incident handling team.

Supplemental Guidance: Organizations 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 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 official is designated by the department or 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 or 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 or agency for insider threat analysis; and conduct self-assessments of department or agency insider threat posture.

Insider threat programs can leverage the existence of incident handling teams that 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 including, for example, 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. However, the use of human resource records could raise significant concerns for privacy. The participation of a comprehensive legal team, including consultation with the senior agency officer for privacy (SAOP), ensures that all monitoring activities are performed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines.

Related Controls: AC-6, AT-2, AU-6, AU-7, AU-10, AU-12, AU-13, CA-7, IA-4, IR-4, MP-7, PE-

2, PM-16, PS-3, PS-4, PS-5, PS-7, PS-8, SC-7, SC-38, SI-4, PM-1, PM-14.

Control Enhancements: None.

References: None.

 

PM-13 SECURITY AND PRIVACY WORKFORCE

Control: Establish a security and privacy workforce development and improvement program.

Supplemental Guidance: Security and privacy workforce development and improvement programs include, for example, defining the knowledge, skills, and abilities needed to perform security and privacy duties and tasks; developing role-based training programs for individuals assigned security and privacy roles and responsibilities; and providing standards and guidelines for measuring and building individual qualifications for incumbents and applicants for security- and privacy-related positions. Such workforce development and improvement programs can also include security and privacy career paths to encourage security and privacy professionals to advance in the field and fill positions with greater responsibility. The programs encourage organizations to fill security- and privacy-related positions with qualified personnel. Security and privacy workforce development and improvement programs are complementary to organizational security awareness and training programs and focus on developing and institutionalizing the core security and privacy capabilities of personnel needed to protect organizational operations, assets, and individuals.

 

Related Controls: AT-2, AT-3.

Control Enhancements: None.

References: NIST Cyber Workforce Framework.

 

PM-14 TESTING, TRAINING, AND MONITORING

Control:

1. Implement a process for ensuring that organizational plans for conducting security and privacy testing, training, and monitoring activities associated with organizational systems:
   1. Are developed and maintained; and
   2. Continue to be executed in a timely manner;
2. Review testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response

Supplemental Guidance: This control ensures that organizations provide oversight for the security and privacy testing, training, and monitoring activities conducted organization-wide and that those activities are coordinated. With the growing importance of continuous monitoring programs, the implementation of information security and privacy 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 and privacy controls. Security and privacy training activities, while focused on individual 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.

Related Controls: AT-2, AT-3, CA-7, CP-4, IR-3, PM-12, SI-4.

Control Enhancements: None.

References: NIST Special Publications 800-37, 800-39; 800-53A, 800-137.

 

PM-15 CONTACTS WITH GROUPS AND ASSOCIATIONS

Control: Establish and institutionalize contact with selected groups and associations within the security and privacy communities:

1. To facilitate ongoing security and privacy education and training for organizational personnel;
2. To maintain currency with recommended security and privacy practices, techniques, and technologies; and
3. To share current security- and privacy-related information including threats, vulnerabilities, and incidents.

Supplemental Guidance: Ongoing contact with security and privacy groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Security and privacy groups and associations include, for example, special interest groups, professional associations, forums, news groups, and peer groups of security and privacy professionals in similar organizations. Organizations select groups and associations based on organizational missions and business functions. Organizations share threat, vulnerability, privacy problems, contextual insights, compliance techniques, and incident information consistent with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.

Related Controls: SA-11, SI-5. Control Enhancements: None. References: None.

 

PM-16 THREAT AWARENESS PROGRAM

Control: Implement a threat awareness program that includes a cross-organization information- sharing capability.

Supplemental Guidance: Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it may be more likely that adversaries can successfully breach or compromise organizational systems. One of the best techniques to address this concern is for organizations to share threat information. This can include 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, and threat intelligence (i.e., indications and warnings about threats that can occur). Threat information sharing may be bilateral or multilateral. Examples of bilateral threat sharing include government- commercial cooperatives and government-government cooperatives. An example of multilateral sharing includes organizations taking part in threat-sharing consortia. Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared.

Related Controls: IR-4, PM-12.

Control Enhancements:

(1) THREAT AWARENESS PROGRAM | AUTOMATED MEANS FOR SHARING THREAT INTELLIGENCE

Utilize automated means to maximize the effectiveness of sharing threat intelligence information.

Supplemental Guidance: To maximize the effectiveness of monitoring, it is important to know what threat observables and indicators the sensors need to be searching for. By utilizing well established frameworks, services, and automated tools, organizations greatly improve their ability to rapidly share and feed into monitoring tools, the relevant threat detection signatures.

Related Controls: None.

References: None.

 

PM-17 PROTECTING CONTROLLED UNCLASSIFIED INFORMATION ON EXTERNAL SYSTEMS

Control:

1. Establish policy and procedures to ensure that the requirements for the protection of Controlled Unclassified Information processed, stored or transmitted on external systems, are implemented in accordance with applicable laws, Executive Orders, directives, policies, regulations, and
2. Update the policy and procedures [Assignment: organization-defined frequency].

Supplemental Guidance: The protection of Controlled Unclassified Information (CUI) in nonfederal organizations and systems is critical to the security of federal operations and assets and the privacy of individuals. CUI is defined by the National Archives and Records Administration along with the appropriate safeguarding and dissemination requirements for such information and is codified in 32 CFR 2002, Controlled Unclassified Information and specifically, for systems external to the federal organization, in 32 CFR 2002.14h. The policy prescribes the specific use and conditions to be implemented in accordance with organizational procedures including, for example, via its contracting processes.

Related Controls: CA-6, PM-10.

Control Enhancements: None.

References: 32 CFR 2002; NIST Special Publication 800-171; NARA CUI Registry.

 

PM-18 PRIVACY PROGRAM PLAN

Control:

1. Develop and disseminate an organization-wide privacy program plan that provides an overview of the agency’s privacy program, and:

 

1. Includes a description of the structure of the privacy program and the resources dedicated to the privacy program;
2. Provides an overview of the requirements for the privacy program and a description of the privacy program management controls and common controls in place or planned for meeting those requirements;
3. Includes the role of the Senior Agency Official for Privacy and the identification and assignment of roles of other privacy officials and staff and their responsibilities;
4. Describes management commitment, compliance, and the strategic goals and objectives of the privacy program;
5. Reflects coordination among organizational entities responsible for the different aspects of privacy; and
6. Is approved by a senior official with responsibility and accountability for the privacy risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; and

1. Update the plan to address changes in federal privacy laws and policy and organizational changes and problems identified during plan implementation or privacy control

Supplemental Guidance: A Privacy program plan is a formal document that provides an overview of an organization’s privacy program, including a description of the structure of the privacy program, the resources dedicated to the privacy program, the role of the Senior Agency Official for Privacy and other privacy officials and staff, the strategic goals and objectives of the privacy program, and the program management and common controls in place or planned for meeting applicable privacy requirements and managing privacy risks.

Privacy program plans can be integrated with information security plans or can be represented independently, either in a single document or in compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Privacy program plans provide sufficient information about the program management and common controls (including specification of parameters and assignment and selection statements either explicitly or by reference) to enable control implementations that are unambiguously compliant with the intent of the plans and a determination of the risk incurred if the plans are implemented as intended.

The privacy plans for individual systems and the organization-wide privacy program plan together provide complete coverage for all privacy controls employed within the organization. Common controls are documented in an appendix to the organization’s privacy program plan unless the controls are included in a separate privacy plan for a system. The organization-wide privacy program plan indicates which separate privacy plans contain descriptions of privacy 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 privacy program plan. If the privacy 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.

Related Controls: PM-8, PM-9, PM-19.

Control Enhancements: None.

References: None.

 

PM-19 PRIVACY PROGRAM ROLES

Control: Appoint a Senior Agency Official for Privacy with the authority, mission, accountability, and resources to coordinate, develop, and implement, applicable privacy requirements and manage privacy risks through the organization-wide privacy program.

Supplemental Guidance: The privacy officer described in this control is an organizational official. For federal agencies, as defined by applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines, this official is designated as the Senior Agency Official for Privacy. Organizations may also refer to this official as the Chief Privacy Officer.

Related Controls: PM-18, PM-21.

Control Enhancements: None.

References: None.

 

PM-20 SYSTEM OF RECORDS NOTICE

Control:

1. Publish System of Records Notices in the Federal Register, subject to required oversight processes, for systems containing personally identifiable information; and
2. Keep System of Records Notices

Supplemental Guidance: Organizations issue System of Records Notices to provide the public notice regarding personally identifiable information collected in a system of records. The Privacy Act defines a system of records as a group of any records under the control of any agency from which information is retrieved by the name of an individual or by some identifying number, symbol, or other identifier. System of Records Notices explain how the information is used, retained, and may be corrected, and whether certain portions of the system are subject to Privacy Act exemptions for law enforcement or national security reasons.

Related Controls: IP-5, PA-2, PA-3.

Control Enhancements: None.

References: None.

 

PM-21 DISSEMINATION OF PRIVACY PROGRAM INFORMATION

Control:

1. Ensure that the public has access to information about organizational privacy activities and can communicate with its Senior Agency Official for Privacy;
2. Ensure that organizational privacy practices are publicly available through organizational websites or otherwise; and
3. Employ publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy

Supplemental Guidance: Organizations employ different mechanisms for informing the public about their privacy practices including, for example, Privacy Impact Assessments, System of Records Notices, privacy reports, publicly available web pages, email distributions, blogs, and periodic publications, including, for example, quarterly newsletters.

Related Controls: IP-4, IP-5, PM-19.

Control Enhancements: None.

References: None.

 

PM-22 ACCOUNTING OF DISCLOSURES

Control:

1. Develop and maintain an accounting of disclosures of personally identifiable information held in each system of records under its control, including:
   1. Date, nature, and purpose of each disclosure of a record; and
   2. Name and address of the person or organization to which the disclosure was made;
2. Retain the accounting of disclosures for the life of the record or five years after the disclosure is made, whichever is longer; and
3. Make the accounting of disclosures available to the person named in the record upon

Supplemental Guidance: This control addresses disclosure accounting requirements in the Privacy Act. The purpose of disclosure accounting requirements is to allow individuals to learn to whom records about them have been disclosed; to provide a basis for subsequently advising recipients of records of any corrected or disputed records; and to provide an audit trail for subsequent reviews of organizational compliance with conditions for disclosures. Organizations can use any system for keeping notations of disclosures, if it can construct from such a system, a document listing of all disclosures. Automated mechanisms can be used by organizations to determine when such information is disclosed, including, for example, commercial services providing notifications and alerts. Accounting of disclosures may also be used to help organizations verify compliance with applicable privacy statutes and policies governing disclosure or dissemination of information and dissemination restrictions.

Related Controls: AU-2. Control Enhancements: None. References: None.

PM-23 DATA QUALITY MANAGEMENT

Control: Issue guidelines ensuring and maximizing the quality, utility, objectivity, integrity, impact determination, and de-identification of personally identifiable information across the information life cycle.

Supplemental Guidance: Data quality management guidelines include the reasonable steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition of personally identifiable information. Such steps may include, for example, editing and validating addresses as they are collected or entered into systems using automated address verification look-up application programming interfaces. The measures taken to protect data quality are based on the nature and context of the personally identifiable information, how it is to be used, how it was obtained, the impact level of the personally identifiable information obtained, and potential de-identification methods employed. Measures taken to validate the accuracy of personally identifiable information that is used to make determinations about the rights, benefits, or privileges of individuals under federal programs may be more comprehensive than those used to validate less sensitive personally identifiable information. Additional steps may be necessary to validate personally identifiable information that is obtained from sources other than individuals or the authorized representatives of individuals.

Related Controls: PM-24, SI-20.

Control Enhancements:

• DATA QUALITY MANAGEMENT | AUTOMATION

Issue technical guidelines and documentation to support automated evaluation of data quality across the information life cycle.

 

Supplemental Guidance: As data is obtained and used across the information life cycle, it is important to confirm the accuracy and relevance of personally identifiable information. Automated tools and techniques can augment existing process and procedures and enable an organization to better identify and manage personally identifiable information in large-scale systems. For example, automated tools can greatly improve efforts to consistently normalize data or identify malformed data. Automated tools can also be used to improve auditing of data, to track how data is used across the information life cycle, and to detect errors that may incorrectly alter personally identifiable information or incorrectly associate such information with the wrong individual. These automated capabilities backstop processes and procedures at-scale. They also enable more fine-grained detection and correction of data quality errors.

Related Controls: None.

• DATA QUALITY MANAGEMENT | DATA TAGGING

Issue data modeling guidelines to support tagging of personally identifiable information.

Supplemental Guidance: Data tagging includes, for example, tags noting the authority to collect, usage, presence of personally identifiable information, de-identification, impact level, and information life cycle stage.

Related Controls: SC-16.

• DATA QUALITY MANAGEMENT | UPDATING PERSONALLY IDENTIFIABLE INFORMATION

When managing personally identifiable information, develop procedures and incorporate mechanisms to identify and record the method under which the information is updated, and the frequency that such updates occur.

Supplemental Guidance: When managing personally identifiable information including, for example, health information and financial information, it is important to carefully track updates or changes to such data. Having the ability to track both the method and frequency of updates enhances transparency and individual participation. It also enables individuals to better understand how and when their information is changed and helps both individuals and the responsible organizations to know how and what personally identifiable information was changed should erroneous information be identified.

Related Controls: None.

References: NIST Special Publication 800-188.

 

PM-24 DATA MANAGEMENT BOARD

Control:

1. Establish a written charter for a Data Management Board;
2. Establish the Data Management Board consisting of [Assignment: organization-defined roles] with the following responsibilities:
   1. Develop and implement guidelines supporting data modeling, quality, integrity, and de- identification needs of personally identifiable information across the information life cycle;
   2. Review and approve applications to release data outside of the organization, archiving the applications and the released data, and performing post-release monitoring to ensure that the assumptions made as part of the data release continue to be valid;
3. Include requirements for personnel interaction with the Data Management Board in security and privacy awareness and/or role-based

Supplemental Guidance: The guidelines established by Data Management Board establish policies, procedures, and standards that enable data governance so that personally identifiable information is managed and maintained in accordance with any relevant statutes, regulations, and guidance. Members may include the Chief Information Officer, Senior Agency Information Security Officer, and Senior Agency Official for Privacy. With respect to data modeling, and the quality, integrity, and de-identification of personally identifiable information, data and information needs are met

 

through organization-wide data governance policies that establish the roles, responsibilities, and processes by which personnel manage information as an asset across the information life cycle. The information life cycle includes creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition. Members may include the Chief Information Officer, Senior Agency Official for Privacy, and Senior Agency Information Security Officer.

Related Controls: AT-2, AT-3, PM-23, PM-25, SI-4, SI-20.

Control Enhancements: None.

References: NIST Special Publication 800-188.

 

PM-25 DATA INTEGRITY BOARD

Control: Establish a Data Integrity Board to oversee organizational Computer Matching Agreements.

Supplemental Guidance: Organizations executing Computer Matching Agreements or participating in such agreements with other organizations regarding applicants for and recipients of financial assistance or payments under federal benefit programs or certain computerized comparisons involving federal personnel or payroll records, establish a Data Integrity Board to oversee and coordinate the implementation of those matching agreements. As data is obtained and used across the information life cycle, it is important to confirm the accuracy and relevance of personally identifiable information. Organizations may integrate the function of the Data Integrity Board into the responsibilities of the Data Management Board under PM-24. In many organizations, the Data Integrity Board is led by the Senior Agency Official for Privacy.

Related Controls: AC-1, AC-3, AC-4, AU-2, AU-3, AU-6, AU-11, PA-2, PA-4, PM-24, SC-8, SC- 28, SI-19, SI-20.

Control Enhancements:

(1) DATA INTEGRITY BOARD | PUBLISH AGREEMENTS ON WEBSITE

Publish Computer Matching Agreements on the public website of the organization.

Supplemental Guidance: None.

Related Controls: None.

References: None.

 

PM-26 MINIMIZATION OF PERSONALLY IDENTIFIABLE INFORMATION USED IN TESTING, TRAINING, AND RESEARCH

Control:

1. Develop and implement policies and procedures that address the use of personally identifiable information for internal testing, training, and research;
2. Take measures to limit or minimize the amount of personally identifiable information used for internal testing, training, and research purposes; and
3. Authorize the use of personally identifiable information when such information is required for internal testing, training, and

Supplemental Guidance: Organizations often use personally identifiable information for testing new applications or systems prior to deployment, for research purposes, and for training. The use of personally identifiable information in testing, research, and training increases risk of unauthorized disclosure or misuse of such information. Organizations consult with the Senior Agency Official for Privacy and legal counsel to ensure that the use of personally identifiable information in testing, training, and research is compatible with the original purpose for which it was collected. When possible, organizations use placeholder data to avoid exposure of personally identifiable information when conducting testing, training, and research.

 

Related Controls: PA-3. Control Enhancements: None. References: None.

PM-27 INDIVIDUAL ACCESS CONTROL

Control:

1. Publish:
   1. Policies governing how individuals may request access to records maintained in a Privacy Act system of records; and
   2. Access procedures in System of Records Notices; and
2. Ensure that the published policies and access procedures are consistent with Privacy Act requirements and Office of Management and Budget policies and guidance for the proper processing of Privacy Act

Supplemental Guidance: Access affords individuals the ability to review personally identifiable information about them held within organizational systems of records. Access includes timely, simplified, and inexpensive access to data. Organizational processes for allowing access to records may differ based on resources, legal requirements, or other factors. The Senior Agency Official for Privacy is responsible for the content of Privacy Act regulations and record request processing, in consultation with the organization’s legal counsel. Access to certain types of records may not be appropriate, however, and heads of agencies may promulgate rules exempting particular systems from the access provision of the Privacy Act.

Related Controls:  IP-6. Control Enhancements: None. References: None.

PM-28 COMPLAINT MANAGEMENT

Control: Implement a process for receiving and responding to complaints, concerns, or questions from individuals about the organizational privacy practices that includes:

1. Mechanisms that are easy to use and readily accessible by the public;
2. All information necessary for successfully filing complaints; and
3. Tracking mechanisms to ensure all complaints received are reviewed and appropriately addressed in a timely manner.

Supplemental Guidance: Complaints, concerns, and questions from individuals can serve as a valuable source of external input that ultimately improves operational models, uses of technology, data collection practices, and privacy and security controls. Mechanisms that can be used by the public may include, for example, e-mail, telephone hotline, or web-based forms. Information necessary for successfully filing complaints includes, for example, contact information for the Senior Agency Official for Privacy or other official designated to receive complaints.

Related Controls: IP-3, IR-7, IR-9.

Control Enhancements: None.

References: None.

 

PM-29 INVENTORY OF PERSONALLY IDENTIFIABLE INFORMATION

Control:

1. Establish, maintain, and update [Assignment: organization-defined frequency] an inventory of all programs and systems that create, collect, use, process, store, maintain, disseminate, disclose, or dispose of personally identifiable information;
2. Provide updates of the personally identifiable information inventory to the Chief Information Officer, Senior Agency Official for Privacy, and Senior Agency Information Security Officer [Assignment: organization-defined frequency];
3. Use the personally identifiable information inventory to support the establishment of information security and privacy requirements for all new or modified systems containing personally identifiable information;
4. Review the personally identifiable information inventory [Assignment: organization-defined frequency];
5. Ensure to the extent practicable, that personally identifiable information is accurate, relevant, timely, and complete; and
6. Reduce personally identifiable information to the minimum necessary for the proper performance of authorized organizational

Supplemental Guidance: Organizations coordinate with federal records officers to ensure that reductions in organizational holdings of personally identifiable information are consistent with National Archives and Records Administration retention schedules. By performing periodic assessments, organizations ensure that only the data specified in the notice is collected, and that the data collected is still relevant and necessary for the purpose specified in privacy notices. The set of personally identifiable information elements required to support an organizational mission or business process may be a subset of the personally identifiable information the organization is authorized to collect.

Related Controls: CM-8, PL-8.

Control Enhancements:

(1) INVENTORY OF PERSONALLY IDENTIFIABLE INFORMATION | AUTOMATION SUPPORT

Employ automated mechanisms to determine if personally identifiable information is maintained in electronic form.

Supplemental Guidance: Automated mechanisms include, for example, commercial services providing notifications and alerts to organizations about where personally identifiable information is stored.

Related Controls: None.

References: None.

 

PM-30 PRIVACY REPORTING

Control: Develop, disseminate, and update privacy reports to:

1. The Office of Management and Budget, Congress, and other oversight bodies to demonstrate accountability with statutory and regulatory privacy program mandates; and
2. [Assignment: organization-defined officials] and other personnel with responsibility for monitoring privacy program progress and

Supplemental Guidance: Through internal and external privacy reporting, organizations promote accountability and transparency in organizational privacy operations. Reporting can also help organizations to determine progress in meeting privacy compliance requirements and privacy controls, compare performance across the federal government, identify vulnerabilities and gaps in policy and implementation, and identify success models. Privacy reports include, for example,

 

annual Senior Agency Official for Privacy reports to OMB; reports to Congress required by the Implementing Regulations of the 9/11 Commission Act; and other public reports required by specific statutory mandates or internal policies of organizations. The Senior Agency Official for Privacy consults with legal counsel, where appropriate, to ensure that organizations meet all applicable privacy reporting requirements.

Related Controls: IR-9, PM-19. Control Enhancements: None. References: None.

PM-31 SUPPLY CHAIN RISK MANAGEMENT PLAN

Control:

1. Develop a plan for managing supply chain risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services;
2. Implement the supply chain risk management plan consistently across the organization; and
3. Review and update the supply chain risk management plan [Assignment: organization-defined frequency] or as required, to address organizational

Supplemental Guidance: An organization-wide supply chain risk management plan includes, for example, an unambiguous expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the supply chain risk management plan, and associated roles and responsibilities. The organization-wide supply chain risk management plan can be incorporated into the organization’s risk management strategy and be used to inform the system-level supply chain risk management plan. The use of a risk executive function can facilitate consistent, organization-wide application of the supply chain risk management plan.

Related Controls: PM-9, SA-12.

Control Enhancements: None.

References: NIST Special Publication 800-161.

 

PM-32 RISK FRAMING

Control:

1. Identify assumptions affecting risk assessments, risk response, and risk monitoring;
2. Identify constraints affecting risk assessments, risk response, and risk monitoring;
3. Identify the organizational risk tolerance; and
4. Identify priorities and trade-offs considered by the organization for managing

Supplemental Guidance: Risk framing is most effectively conducted at the organization-wide level. The assumptions, constraints, organizational risk tolerance, and priorities and trade-offs identified for this control inform the organizational risk management strategy which in turn, informs the conduct of risk assessment, risk response, and risk monitoring.

Related Controls: CA-7, PM-9, RA-3, RA-7.

Control Enhancements: None.

References: NIST Special Publication 800-39.

 

3.16     PERSONNEL SECURITY

 

Quick link to Personnel Security summary table

 

PS-1      PERSONNEL SECURITY POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A personnel security policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the personnel security policy and the associated personnel security controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the personnel security policy and procedures;
3. Review and update the current personnel security:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the personnel security procedures implement the personnel security policy and controls; and
5. Develop, document, and implement remediation actions for violations of the personnel security

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the PS family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

PS-2      POSITION RISK DESIGNATION

Control:

1. Assign a risk designation to all organizational positions;
2. Establish screening criteria for individuals filling those positions; and

 

1. Review and update position risk designations [Assignment: organization-defined frequency].

Supplemental Guidance: Position 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 systems. Position screening criteria include explicit information security role appointment requirements.

Related Controls: AC-5, AT-3, PE-2, PE-3, PL-2, PS-3, PS-6, SA-5, SA-21, SI-12.

Control Enhancements: None.

References: 5 C.F.R. 731.106.

 

PS-3      PERSONNEL SCREENING

Control:

1. Screen individuals prior to authorizing access to the system; and
2. Rescreen individuals in accordance with [Assignment: organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of rescreening].

Supplemental Guidance: Personnel screening and rescreening activities reflect applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing systems based on types of information processed, stored, or transmitted by the systems.

Related Controls: AC-2, IA-4, MA-5, PE-2, PM-12, PS-2, PS-6, PS-7, SA-21.

Control Enhancements:

• PERSONNEL SCREENING | CLASSIFIED INFORMATION

Verify that individuals accessing a 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.

Supplemental Guidance:  None.

Related Controls:  AC-3, AC-4.

• PERSONNEL SCREENING | FORMAL INDOCTRINATION

Verify that individuals accessing a system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all the relevant types of information to which they have access on the system.

Supplemental Guidance: Types of classified information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI).

Related Controls: AC-3, AC-4.

• PERSONNEL SCREENING | INFORMATION WITH SPECIAL PROTECTION MEASURES

Verify that individuals accessing a system processing, storing, or transmitting information requiring special protection:

• Have valid access authorizations that are demonstrated by assigned official government duties; and
• Satisfy [Assignment: organization-defined additional personnel screening criteria].

Supplemental Guidance: Organizational information requiring special protection includes, for example, Controlled Unclassified Information (CUI). Personnel security criteria include, for example, position sensitivity background screening requirements.

Related Controls: None.

• PERSONNEL SCREENING | CITIZENSHIP REQUIREMENTS

Verify that individuals accessing a system processing, storing, or transmitting [Assignment: organization-defined information types] meet [Assignment: organization-defined citizenship requirements].

 

Supplemental Guidance: None.

Related Controls: None.

References: FIPS Publications 199, 201; NIST Special Publications 800-60-1, 800-60-2, 800-73,

800-76, 800-78.

 

PS-4      PERSONNEL TERMINATION

Control: Upon termination of individual employment:

1. Disable system access within [Assignment: organization-defined time-period];
2. Terminate or revoke any authenticators and credentials associated with the individual;
3. Conduct exit interviews that include a discussion of [Assignment: organization-defined information security topics];
4. Retrieve all security-related organizational system-related property;
5. Retain access to organizational information and systems formerly controlled by terminated individual; and
6. Notify [Assignment: organization-defined personnel or roles] within [Assignment: organization-defined time-period].

Supplemental Guidance: 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 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 unavailability 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 system accounts of individuals that are being terminated prior to the individuals being notified.

Related Controls: AC-2, IA-4, PE-2, PM-12, PS-6, PS-7.

Control Enhancements:

• PERSONNEL TERMINATION | POST-EMPLOYMENT REQUIREMENTS
  • Notify terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and
  • Require terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination

Supplemental Guidance: Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.

Related Controls: None.

• PERSONNEL TERMINATION | AUTOMATED NOTIFICATION

Employ automated mechanisms to notify [Assignment: organization-defined personnel or roles] upon termination of an individual.

Supplemental Guidance: In organizations with many 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 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.

Related Controls: None.

 

References: None.

 

PS-5      PERSONNEL TRANSFER

Control:

1. Review and confirm ongoing operational need for current logical and physical access authorizations to systems and facilities when individuals are reassigned or transferred to other positions within the organization;
2. Initiate [Assignment: organization-defined transfer or reassignment actions] within [Assignment: organization-defined time-period following the formal transfer action];
3. Modify access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and
4. Notify [Assignment: organization-defined personnel or roles] within [Assignment: organization-defined time-period].

Supplemental Guidance: This 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, returning old and issuing new keys, identification cards, and building passes; closing system accounts and establishing new accounts; changing system access authorizations (i.e., privileges); and providing for access to official records to which individuals had access at previous work locations and in previous system accounts.

Related Controls: AC-2, IA-4, PE-2, PM-12, PS-4, PS-7.

Control Enhancements: None.

References: None.

 

PS-6      ACCESS AGREEMENTS

Control:

1. Develop and document access agreements for organizational systems;
2. Review and update the access agreements [Assignment: organization-defined frequency]; and
3. Verify that individuals requiring access to organizational information and systems:
   1. Sign appropriate access agreements prior to being granted access; and
   2. Re-sign access agreements to maintain access to organizational systems when access agreements have been updated or [Assignment: organization-defined frequency].

Supplemental Guidance: Access 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 systems to which access is authorized.

Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.

Related Controls: AC-17, PE-2, PL-4, PS-2, PS-3, PS-7, PS-8, SA-21, SI-12.

Control Enhancements:

• ACCESS AGREEMENTS | INFORMATION REQUIRING SPECIAL PROTECTION

[Withdrawn: Incorporated into PS-3].

• ACCESS AGREEMENTS | CLASSIFIED INFORMATION REQUIRING SPECIAL PROTECTION

Verify that access to classified information requiring special protection is granted only to individuals who:

 

• Have a valid access authorization that is demonstrated by assigned official government duties;
• Satisfy associated personnel security criteria; and
• Have read, understood, and signed a nondisclosure

Supplemental Guidance: Classified information requiring special protection includes, for example, collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines.

Related Controls: None.

• ACCESS AGREEMENTS | POST-EMPLOYMENT REQUIREMENTS
  • Notify individuals of applicable, legally binding post-employment requirements for protection of organizational information; and
  • Require individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered

Supplemental Guidance: Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.

Related Controls: PS-4.

References: None.

 

PS-7      EXTERNAL PERSONNEL SECURITY

Control:

1. Establish personnel security requirements including security roles and responsibilities for external providers;
2. Require external providers to comply with personnel security policies and procedures established by the organization;
3. Document personnel security requirements;
4. Require external providers to notify [Assignment: organization-defined personnel or roles] of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges, or who have system privileges within [Assignment: organization- defined time-period]; and
5. Monitor provider

Supplemental Guidance: External provider refers to organizations other than the organization operating or acquiring the system. External providers include, for example, service bureaus, contractors, and other organizations providing system development, information technology services, outsourced applications, testing/assessment services, and network and security management. Organizations explicitly include personnel security requirements in acquisition- related documents. External providers may have personnel working at organizational facilities with credentials, badges, or system privileges issued by organizations. Notifications of external 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.

Related Controls: AT-2, AT-3, MA-5, PE-3, PS-2, PS-3, PS-4, PS-5, PS-6, SA-5, SA-9, SA-21.

Control Enhancements: None.

References: NIST Special Publication 800-35.

 

PS-8      PERSONNEL SANCTIONS

Control:

1. Employ a formal sanctions process for individuals failing to comply with established information security policies and procedures; and
2. Notify [Assignment: organization-defined personnel or roles] within [Assignment: organization-defined time-period] when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the

Supplemental Guidance: Organizational sanctions processes reflect applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines. 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.

Related Controls: All XX-1 Controls, IP-1, PL-4, PM-12, PS-6.

Control Enhancements: None.

References: None.

 

3.17     RISK ASSESSMENT

 

Quick link to Risk Assessment summary table

 

RA-1      RISK ASSESSMENT POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A risk assessment policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the risk assessment policy and the associated risk assessment controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the risk assessment policy and procedures;
3. Review and update the current risk assessment:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the risk assessment procedures implement the risk assessment policy and controls; and
5. Develop, document, and implement remediation actions for violations of the risk assessment policy.

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the RA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

RA-2      SECURITY CATEGORIZATION

Control:

1. Categorize the system and information it processes, stores, and transmits;
2. Document the security categorization results including supporting rationale, in the security plan for the system; and

 

1. Verify that the authorizing official or authorizing official designated representative reviews and approves the security categorization

Supplemental Guidance: Clearly 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 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 Agency Information Security Officers, system owners, mission and 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 facilitate the development of inventories of information assets, and along with CM-8, mappings to specific system components where information is processed, stored, or transmitted.

Related Controls: CM-8, MP-4, PL-2, PL-10, PL-11, PM-7, RA-3, RA-5, RA-7, SC-7, SC-38, SI- 12.

Control Enhancements:

(1) SECURITY CATEGORIZATION | SECOND-LEVEL CATEGORIZATION

Conduct a second-level categorization of organizational systems to obtain additional granularity on system impact levels.

Supplemental Guidance: Organizations apply the “high water mark” concept to each of their systems categorized in accordance with FIPS Publication 199. This process results in systems designated as low impact, moderate impact, or high impact. Organizations desiring additional granularity in the system impact designations for risk-based decision making, can further partition the systems into sub-categories of the initial, first-level system categorization. For example, a second-level categorization on a moderate-impact system can produce three new sub-categories: low-moderate systems, moderate-moderate systems, and high-moderate systems. This secondary categorization and the resulting sub-categories of the system give organizations an opportunity to further prioritize their investments related to security control selection and the tailoring of control baselines in responding to identified risks. Second-level categorization can also be used to determine those systems that are exceptionally critical to organizational missions and business operations. These systems are sometimes described as high-value assets and thus, organizations may be more focused on complexity, aggregation, and interconnections. Such systems can be identified by partitioning high-impact systems into low-high systems, moderate-high systems, and high-high systems.

Related Controls: None.

References: FIPS Publications 199, 200; NIST Special Publications 800-30, 800-39, 800-60-1,

800-60-2.

 

RA-3      RISK ASSESSMENT

Control:

1. Conduct a risk assessment, including the likelihood and magnitude of harm, from:
   1. The unauthorized access, use, disclosure, disruption, modification, or destruction of the system, the information it processes, stores, or transmits, and any related information; and
   2. Privacy-related problems for individuals arising from the intentional processing of personally identifiable information;
2. Integrate risk assessment results and risk management decsions from the organization and missions/business process perspectives with system-level risk assessments;
3. Document risk assessment results in [Selection: security and privacy plans; risk assessment report; [Assignment: organization-defined document]];

 

1. Review risk assessment results [Assignment: organization-defined frequency];
2. Disseminate risk assessment results to [Assignment: organization-defined personnel or roles]; and
3. Update the risk assessment [Assignment: organization-defined frequency] or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the

Supplemental Guidance: Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of systems. Risk assessments also take into account risk from external parties including, for example, individuals accessing organizational systems; contractors operating systems on behalf of the organization; service providers; and outsourcing entities.

Organizations can conduct risk assessments, either formal or informal, at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or 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, control selection, control implementation, control assessment, system authorization, and control monitoring. In addition to the information processed, stored, and transmitted by the system, risk assessments can also address any information related to the system including, for example, system design, the intended use of the system, testing results, and other supply chain-related information or artifacts. Assessments of risk can play an important role in security and privacy control selection processes, particularly during the application of tailoring guidance.

Related Controls: CA-3, CP-6, CP-7, IA-8, MA-5, PE-3, PE-18, PL-2, PL-10, PL-11, PM-8, PM-9, PM-32, RA-2, RA-5, RA-7, SA-9, SC-38, SI-12.

Control Enhancements:

• RISK ASSESSMENT | SUPPLY CHAIN RISK ASSESSMENT
  • Assess supply chain risks associated with [Assignment: organization-defined systems, system components, and system services]; and
  • Update the supply chain risk assessment [Assignment: organization-defined frequency], when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply

Supplemental Guidance: Supply chain-related events include, for example, disruption, theft, use of defective components, insertion of counterfeits, malicious development practices, improper delivery practices, and insertion of malicious code. These events can have a significant impact on the confidentiality, integrity, or availability of a system and its information and therefore, can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. The supply chain-related events may be unintentional or malicious and can occur at any point during the system life cycle. An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required.

Related Controls: RA-2, RA-9, PM-17, SA-12.

References: NIST Special Publications 800-30, 800-39, 800-161; NIST Interagency Report 8023.

 

RA-4      RISK ASSESSMENT UPDATE

[Withdrawn: Incorporated into RA-3].

 

RA-5      VULNERABILITY SCANNING

Control:

1. Scan for vulnerabilities in the system and hosted applications [Assignment: organization- defined frequency and/or randomly in accordance with organization-defined process] and when new vulnerabilities potentially affecting the system are identified and reported;
2. Employ vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:
   1. Enumerating platforms, software flaws, and improper configurations;
   2. Formatting checklists and test procedures; and
   3. Measuring vulnerability impact;
3. Analyze vulnerability scan reports and results from control assessments;
4. Remediate legitimate vulnerabilities [Assignment: organization-defined response times] in accordance with an organizational assessment of risk;
5. Share information obtained from the vulnerability scanning process and control assessments with [Assignment: organization-defined personnel or roles] to help eliminate similar vulnerabilities in other systems; and
6. Employ vulnerability scanning tools that include the capability to readily update the vulnerabilities to be

Supplemental Guidance: Security categorization of information and systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for system components, ensuring that the potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. The vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This process helps to ensure that potential vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability analyses for custom software may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can use these analysis approaches in source code reviews and in a variety of tools including, for example, web-based application scanners, static analysis tools, and binary analyzers. Vulnerability scanning includes, for example, scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for improperly configured or incorrectly operating information flow control mechanisms. Scanning tools that facilitate interoperability include, for example, products that are Security Content Automated Protocol (SCAP) validated. Thus, organizations consider using scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine the presence of vulnerabilities. Sources for vulnerability information include, for example, the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). Control assessments such as red team exercises provide additional sources of potential vulnerabilities for which to scan. Organizations also consider using scanning tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).

Related Controls: CA-2, CA-7, CM-2, CM-4, CM-6, CM-8, RA-2, RA-3, SA-11, SA-12, SA-15, SC-38, SI-2, SI-3, SI-4, SI-7.

Control Enhancements:

• VULNERABILITY SCANNING | UPDATE TOOL CAPABILITY

[Withdrawn: Incorporated into RA-5].

• VULNERABILITY SCANNING | UPDATE BY FREQUENCY, PRIOR TO NEW SCAN, OR WHEN IDENTIFIED

Update the system vulnerabilities to be scanned [Selection (one or more): [Assignment: organization-defined frequency]; prior to a new scan; when new vulnerabilities are identified and reported].

 

Supplemental Guidance: None.

Related Controls: SI-5.

• VULNERABILITY SCANNING | BREADTH AND DEPTH OF COVERAGE

Employ vulnerability scanning procedures that can identify the breadth and depth of coverage.

Supplemental Guidance: The identification of the breadth and depth of coverage can include, for example, the system components scanned and the vulnerabilities checked.

Related Controls: None.

• VULNERABILITY SCANNING | DISCOVERABLE INFORMATION

Determine unintended discoverable information about the system and take [Assignment: organization-defined corrective actions].

Supplemental Guidance: Discoverable information includes information that adversaries could obtain without directly compromising or breaching the 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 system to make designated information less relevant or attractive to adversaries.

Related Controls: AU-13.

• VULNERABILITY SCANNING | PRIVILEGED ACCESS

Implements privileged access authorization to [Assignment: organization-identified system components] for [Assignment: organization-defined vulnerability scanning activities].

Supplemental Guidance: In certain situations, the nature of the vulnerability scanning may be more intrusive or the system component that is the subject of the scanning may contain classified or controlled unclassified information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and protects the sensitive nature of such scanning.

Related Controls: None.

• VULNERABILITY SCANNING | AUTOMATED TREND ANALYSES

Employ automated mechanisms to compare the results of vulnerability scans over time to determine trends in system vulnerabilities.

Supplemental Guidance: None.

Related Controls: None.

• VULNERABILITY SCANNING | AUTOMATED DETECTION AND NOTIFICATION OF UNAUTHORIZED COMPONENTS

[Withdrawn: Incorporated into CM-8].

• VULNERABILITY SCANNING | REVIEW HISTORIC AUDIT LOGS

Review historic audit logs to determine if a vulnerability identified in the system has been previously exploited.

Supplemental Guidance: None.

Related Controls: AU-6, AU-11.

• VULNERABILITY SCANNING | PENETRATION TESTING AND ANALYSES

[Withdrawn: Incorporated into CA-8].

• VULNERABILITY SCANNING | CORRELATE SCANNING INFORMATION

Correlate the output from vulnerability scanning tools to determine the presence of multi- vulnerability and multi-hop attack vectors.

Supplemental Guidance: None.

Related Controls: None.

References: NIST Special Publications 800-40, 800-70, 800-115, 800-126; NIST Interagency

Reports 7788, 8023.

 

RA-6      TECHNICAL SURVEILLANCE COUNTERMEASURES SURVEY

Control: Employ a technical surveillance countermeasures survey at [Assignment: organization- defined locations] [Selection (one or more): [Assignment: organization-defined frequency]; [Assignment: organization-defined events or indicators occur]].

Supplemental Guidance: Technical surveillance countermeasures surveys are performed by qualified personnel. Organizations use such surveys to detect the presence of technical surveillance devices and hazards and to identify technical security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities. In addition, technical surveillance countermeasures surveys provide evaluations of the technical security posture of organizations and facilities and include thorough visual, electronic, and physical examinations of surveyed facilities, both internally and externally. The surveys also provide useful input for organizational risk assessments and critical information regarding organizational exposure to potential adversaries.

Related Controls: None. Control Enhancements: None. References: None.

RA-7      RISK RESPONSE

Control: Respond to findings from security and privacy assessments, monitoring, and audits.

Supplemental Guidance: Organizations have a variety of options for responding to risk including: mitigating the risk by implementing new controls or strengthening existing controls; accepting the risk with appropriate justification or rationale; sharing or transferring the risk; or rejecting the risk. Organizational risk tolerance influences risk response decisions and actions. Risk response is also known as risk treatment. This control addresses the need to determine an appropriate response to risk before a plan of action and milestones entry is generated. For example, the response may be to accept risk or reject risk, or it may be possible to mitigate the risk immediately so a plan of action and milestones entry is not needed. However, if the risk response is to mitigate the risk and the mitigation cannot be completed immediately, a plan of action and milestones entry is generated.

Related Controls: CA-5, IR-9, PM-4, PM-32, RA-2, RA-3.

Control Enhancements: None.

References: FIPS Publications 199, 200; NIST Special Publications 800-30, 800-37, 800-39, 800-

160.

 

RA-8      PRIVACY IMPACT ASSESSMENTS

Control: Conduct privacy impact assessments for systems, programs, or other activities that pose a privacy risk before:

1. Developing or procuring information technology that collects, maintains, or disseminates information that is in an identifiable form; and
2. Initiating a new collection of information that:
   1. Will be collected, maintained, or disseminated using information technology; and
   2. Includes information in an identifiable form permitting the physical or online contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more persons, other than agencies, instrumentalities, or employees of the Federal

Supplemental Guidance: Privacy impact assessments are an analysis of how information is managed to ensure that such management conforms to applicable legal, regulatory, and policy requirements regarding privacy; to determine the associated privacy risks and effects of creating, collecting, using, processing, storing, maintaining, disseminating, disclosing, and disposing of information in

 

identifiable form in a system; and to examine and evaluate the protections and alternate processes for managing information to mitigate potential privacy concerns. A privacy impact assessment is an analysis and a formal document detailing the process and outcome of the analysis. To conduct the analysis, organizations use risk assessment processes. Although privacy impact assessments may be required by law, organizations may develop policies to require privacy impact assessments in circumstances where a privacy impact assessment would not be required by law.

Related Controls: IP-4, PA-2, PA-3, RA-1, RA-3, RA-7.

Control Enhancements: None.

References: None.

 

RA-9      CRITICALITY ANALYSIS

Control: Identify critical system components and functions by performing a criticality analysis for [Assignment: organization-defined systems, system components, or system services] at [Assignment: organization-defined decision points in the system development life cycle].

Supplemental Guidance: Not all system components, functions, or services necessarily require significant protections. Criticality analysis is a key tenet of, for example, supply chain risk management, and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable regulations, directives, policies, standards, and guidelines, system functionality requirements, system and component interfaces, and system and component dependencies. Systems engineers conduct an end-to-end functional decomposition of a 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 system boundary.

The operational environment of a system or component may impact the criticality including, for example, the connections to and dependencies on cyber-physical systems, devices, system-of- systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions supported by the system containing those components and functions. A criticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If done early in the system life cycle, organizations may consider modifying the system design to reduce the critical nature of these components and functions by, for example, adding redundancy or alternate paths into the system design.

Related Controls: CP-2, PL-2, PL-8, PL-11, PM-1, SA-8, SA-12, SA-15, SA-20.

Control Enhancements: None.

References: None.

 

3.18     SYSTEM AND SERVICES ACQUISITION

 

Quick link to System and Services Acquisition summary table

 

SA-1      SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A system and services acquisition policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the system and services acquisition policy and the associated system and services acquisition controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the system and services acquisition policy and procedures;
3. Review and update the current system and services acquisition:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the system and services acquisition procedures implement the system and services acquisition policy and controls; and
5. Develop, document, and implement remediation actions for violations of the system and services acquisition

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the SA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

SA-2      ALLOCATION OF RESOURCES

Control:

1. Determine information security and privacy requirements for the system or system service in mission and business process planning;

 

1. Determine, document, and allocate the resources required to protect the system or system service as part of the organizational capital planning and investment control process; and
2. Establish a discrete line item for information security and privacy in organizational programming and budgeting

Supplemental Guidance: Resource allocation for information security and privacy includes funding for system or service acquisition, sustainment, and supply chain concerns throughout the system development life cycle.

Related Controls: PL-7, PM-3, PM-11, SA-9.

Control Enhancements: None.

References: NIST Special Publication 800-65.

 

SA-3      SYSTEM DEVELOPMENT LIFE CYCLE

Control:

1. Manage the system using [Assignment: organization-defined system development life cycle] that incorporates information security and privacy considerations;
2. Define and document information security and privacy roles and responsibilities throughout the system development life cycle;
3. Identify individuals having information security and privacy roles and responsibilities; and
4. Integrate the organizational information security and privacy risk management process into system development life cycle

Supplemental Guidance: A system development life cycle process provides the foundation for the successful development, implementation, and operation of organizational systems. To apply the required security and privacy controls within the system development life cycle requires a basic understanding of information security and privacy, threats, vulnerabilities, adverse impacts, and risk to critical missions and business functions. The security engineering principles in SA-8 help individuals properly design, code, and test systems and system components. Organizations include qualified personnel including, for example, chief information security officers, security architects, security engineers, system security officers, and chief privacy officers in system development life cycle processes to ensure that established security and privacy requirements are incorporated into organizational systems. It is also important that developers include individuals on the development team that possess the requisite security and privacy expertise and skills to ensure that the needed security and privacy capabilities are effectively integrated into the system. Role-based security and privacy training programs can ensure that individuals having key security and privacy roles and responsibilities have the experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security and privacy requirements into enterprise architecture also ensures that important security and privacy considerations are addressed early in the system life cycle and that those considerations are directly related to organizational mission and business processes. This process also facilitates the integration of the information security and privacy architectures into the enterprise architecture, consistent with risk management strategy of the organization. Because the development life cycle of a system involves multiple organizations, including, for example, external suppliers, developers, integrators, and service providers, it is important to recognize that acquisition and supply chain risk management functions and controls play a significant role in the overall effective management of the system during that life cycle.

Related Controls: AT-3, PL-8, PM-7, SA-4, SA-5, SA-8, SA-11, SA-12, SA-15, SA-17, SA-18, SA- 22.

 

Control Enhancements:

• SYSTEM DEVELOPMENT LIFE CYCLE | MANAGE DEVELOPMENT ENVIRONMENT

Protect system development, test, and integration environments commensurate with risk throughout the system development life cycle for the system, system component, or system service.

Supplemental Guidance: None.

Related Controls: CM-2, CM-4, RA-3, SA-4.

• SYSTEM DEVELOPMENT LIFE CYCLE | USE OF LIVE DATA
  • Approve, document, and control the use of live data in development, test, and integration environments for the system, system component, or system service; and
  • Ensure development, test, and integration environments for the system, system component, or system service are protected at the same impact or classification level as any live data used.

Supplemental Guidance: Live data is also referred to as operational data. The 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 design, development, and testing of systems, system components, and system services.

Related Controls: RA-3.

• SYSTEM DEVELOPMENT LIFE CYCLE | TECHNOLOGY REFRESH

Plan for and implement a technology refresh schedule to support the system throughout the system development life cycle.

Supplemental Guidance: Technology refresh planning may encompass hardware, software, firmware, processes, personnel skill sets, suppliers, service providers, and facilities. The use of obsolete or nearing obsolete technology may increase security and privacy risks associated with, for example, unsupported components, components unable to implement security or privacy requirements, counterfeit or re-purposed components, slow or inoperable components, components from untrusted sources, inadvertent personnel error, or increased complexity.

Related Controls: None.

References: NIST Special Publications 800-30, 800-37, 800-64.

 

SA-4      ACQUISITION PROCESS

Control: Include the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the system, system component, or system service:

1. Security and privacy functional requirements;
2. Strength of mechanism requirements;
3. Security and privacy assurance requirements;
4. Security and privacy documentation requirements;
5. Requirements for protecting security and privacy documentation;
6. Description of the system development environment and environment in which the system is intended to operate;
7. Allocation of responsibility or identification of parties responsible for information security, privacy, and supply chain risk management; and
8. Acceptance

Supplemental Guidance: System components are discrete, identifiable information technology assets including, for example, hardware, software, or firmware. These components represent the building blocks of a system. System components typically consist of commercial information technology products. Security and privacy functional requirements include security and privacy capabilities, functions, and mechanisms. Strength requirements associated with such capabilities, functions,

 

and mechanisms include degree of correctness, completeness, resistance to tampering or bypass, and resistance to direct attack. Security and privacy assurance requirements include development processes, procedures, practices, and methodologies; and the evidence from development and assessment activities providing grounds for confidence that the required security and privacy functionality is implemented and possesses the required strength of mechanism. Security and privacy documentation requirements address all phases of the system development life cycle.

Security and privacy requirements are expressed in terms of security and privacy controls and control enhancements that have been selected through the tailoring process. The tailoring process includes, for example, the specification of parameter values using assignment and selection statements and platform dependencies and implementation information. Security and privacy documentation provides user and administrator guidance regarding the implementation and operation of security and privacy controls. The level of detail required in such documentation is based on the security categorization or classification level of the system and the degree to which organizations depend on the stated security or privacy capabilities, functions, or mechanisms to meet overall risk response expectations. Security and privacy requirements can include mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for systems, system components, and system services are defined in the same manner as such criteria for any organizational acquisition or procurement.

Related Controls: CM-6, CM-8, PS-7, SA-3, SA-5, SA-8, SA-11, SA-12, SA-15, SA-16, SA-17, SA-21.

Control Enhancements:

• ACQUISITION PROCESS | FUNCTIONAL PROPERTIES OF CONTROLS

Require the developer of the system, system component, or system service to provide a description of the functional properties of the controls to be implemented.

Supplemental Guidance: Functional properties of security and privacy controls describe the functionality (i.e., security or privacy 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.

Related Controls: None.

• ACQUISITION PROCESS | DESIGN AND IMPLEMENTATION INFORMATION FOR CONTROLS

Require the developer of the system, system component, or system service to provide design and implementation information for the selected controls that includes: [Selection (one or more): security-relevant external system interfaces; high-level design; low-level design; source code or hardware schematics; [Assignment: organization-defined design and implementation information]] at [Assignment: organization-defined level of detail].

Supplemental Guidance: Organizations may require different levels of detail in design and implementation documentation for controls implemented in organizational systems, system components, or system services based on mission and business requirements; requirements for trustworthiness and resiliency; and requirements for analysis and testing. 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 subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules and the interfaces between modules providing security-relevant functionality. Design and implementation documentation may include information such as manufacturer, version, serial number, verification hash signature, software libraries used, date of purchase or download, and the vendor or download source.

Source code and hardware schematics are referred to as the implementation representation of the system.

Related Controls: None.

• ACQUISITION PROCESS | DEVELOPMENT METHODS, TECHNIQUES, AND PRACTICES

Require the developer of the system, system component, or system service to demonstrate the use of a system development life cycle process that includes [Assignment: organization-defined systems engineering methods; [Selection (one or more): systems security engineering methods;

 

privacy engineering methods]; software development methods; testing, evaluation, assessment, verification, and validation methods; and quality control processes].

Supplemental Guidance: Following a system development life cycle that includes state-of-the- practice software development methods, systems engineering methods, systems security and privacy engineering methods, and quality control processes helps to reduce the number and severity of latent errors within systems, system components, and system services. Reducing the number and severity of such errors reduces the number of vulnerabilities in those systems, components, and services.

Related Controls: None.

• ACQUISITION PROCESS | ASSIGNMENT OF COMPONENTS TO SYSTEMS

[Withdrawn: Incorporated into CM-8(9)].

• ACQUISITION PROCESS | SYSTEM, COMPONENT, AND SERVICE CONFIGURATIONS

Require the developer of the system, system component, or system service to:

• Deliver the system, component, or service with [Assignment: organization-defined security configurations] implemented; and
• Use the configurations as the default for any subsequent system, component, or service reinstallation or

Supplemental Guidance: Security 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 default passwords have been changed.

Related Controls: None.

• ACQUISITION PROCESS | USE OF INFORMATION ASSURANCE PRODUCTS
  • Employ only government off-the-shelf or commercial off-the-shelf information assurance and information assurance-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
  • Ensure that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved

Supplemental Guidance: Commercial off-the-shelf IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management.

Related Controls: SC-8, SC-12, SC-13.

• ACQUISITION PROCESS | NIAP-APPROVED PROTECTION PROFILES
  • Limit the use of commercially provided information assurance and information assurance- 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
  • Require, 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 or NSA- approved.

Supplemental Guidance: None.

Related Controls: IA-7, SC-12, SC-13.

• ACQUISITION PROCESS | CONTINUOUS MONITORING PLAN FOR CONTROLS

Require the developer of the system, system component, or system service to produce a plan for continuous monitoring of security and privacy control effectiveness that contains the following: [Assignment: organization-defined level of detail].

Supplemental Guidance: The objective of continuous monitoring plans is to determine if the complete set of planned, required, and deployed security and privacy controls within the system, system component, or 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.

 

Related Controls: CA-7.

• ACQUISITION PROCESS | FUNCTIONS, PORTS, PROTOCOLS, AND SERVICES IN USE

Require the developer of the system, system component, or system service to identify the functions, ports, protocols, and services intended for organizational use.

Supplemental Guidance: The identification of functions, ports, protocols, and services early in the system development life cycle, for example, during the initial requirements definition and design phases, allows organizations to influence the design of the system, system component, or system service. This early involvement in the system 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 system service providers to do so. Early identification of functions, ports, protocols, and services avoids costly retrofitting of controls after the system, component, or system service has been implemented. SA-9 describes the requirements for external system services with organizations identifying which functions, ports, protocols, and services are provided from external sources.

Related Controls: CM-7, SA-9.

• ACQUISITION PROCESS | USE OF APPROVED PIV PRODUCTS

Employ only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational systems.

Supplemental Guidance: None.

Related Controls: IA-2, IA-8, PM-9.

References: ISO/IEC 15408; FIPS Publications 140-2, 201; NIST Special Publications 800-23,

800-35, 800-36, 800-37, 800-64, 800-70, 800-73, 800-137, 800-161; NIST Interagency Reports

7539, 7622, 7676, 7870, 8062.

 

SA-5      SYSTEM DOCUMENTATION

Control:

1. Obtain administrator documentation for the system, system component, or system service that describes:
   1. Secure configuration, installation, and operation of the system, component, or service;
   2. Effective use and maintenance of security and privacy functions and mechanisms; and
   3. Known vulnerabilities regarding configuration and use of administrative or privileged functions;
2. Obtain user documentation for the system, system component, or system service that describes:
   1. User-accessible security and privacy functions and mechanisms and how to effectively use those functions and mechanisms;
   2. Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner and protect individual privacy; and
   3. User responsibilities in maintaining the security of the system, component, or service and privacy of individuals;
3. Document attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent and takes [Assignment: organization-defined actions] in response;
4. Protect documentation as required, in accordance with the organizational risk management strategy; and
5. Distribute documentation to [Assignment: organization-defined personnel or roles].

 

Supplemental Guidance: This control helps organizational personnel understand the implementation and operation of security and privacy controls associated with systems, system components, and system services. Organizations consider establishing specific measures to determine the quality and completeness of the content provided. System documentation may be used, for example, to support the management of supply chain risk, incident response, and other functions. Personnel or roles requiring documentation may include, for example, system owners, system security officers, and system administrators. Attempts to obtain documentation may include, for example, directly contacting manufacturers or suppliers and conducting web-based searches. The inability to obtain needed documentation may occur, for example, due to the age of the system or 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 implementation or operation of the security and privacy controls. The level of protection provided for the system, component, or service documentation is commensurate with the security category or classification of the system. Documentation that addresses system vulnerabilities may require an increased level of protection. Secure operation of the system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.

Related Controls: CM-4, CM-6, CM-7, CM-8, PL-2, PL-4, PL-8, PS-2, SA-3, SA-4, SA-9, SA-10, SA-11, SA-15, SA-16, SA-17, SI-12.

Control Enhancements:

• SYSTEM DOCUMENTATION | FUNCTIONAL PROPERTIES OF SECURITY CONTROLS

[Withdrawn: Incorporated into SA-4(1)].

• SYSTEM DOCUMENTATION | SECURITY-RELEVANT EXTERNAL SYSTEM INTERFACES

[Withdrawn: Incorporated into SA-4(2)].

• SYSTEM DOCUMENTATION | HIGH-LEVEL DESIGN

[Withdrawn: Incorporated into SA-4(2)].

• SYSTEM DOCUMENTATION | LOW-LEVEL DESIGN

[Withdrawn: Incorporated into SA-4(2)].

• SYSTEM DOCUMENTATION | SOURCE CODE

[Withdrawn: Incorporated into SA-4(2)].

References: None.

 

SA-6      SOFTWARE USAGE RESTRICTIONS

[Withdrawn: Incorporated into CM-10 and SI-7].

 

SA-7      USER-INSTALLED SOFTWARE

[Withdrawn: Incorporated into CM-11 and SI-7].

 

SA-8      SECURITY AND PRIVACY ENGINEERING PRINCIPLES

Control: Apply [Assignment: organization-defined systems security engineering principles] in the specification, design, development, implementation, and modification of the system and system components.

Supplemental Guidance: Organizations can apply systems security and privacy engineering principles to new systems under development or to systems undergoing upgrades. For legacy systems, organizations apply systems security and privacy engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems. The application of systems security and privacy engineering concepts and principles help to develop trustworthy, secure systems and system components and reduce the susceptibility of organizations to disruptions, hazards, threats, and creating privacy-related problems for individuals. Examples of these concepts and principles include, developing layered protections; establishing security and privacy policies, architecture,

 

and controls as the foundation for design and development; incorporating security and privacy requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; tailoring security and privacy controls to meet organizational and operational needs; performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk. Organizations that apply security and privacy engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and system services; reduce risk to acceptable levels; and make informed risk management decisions. Security engineering principles can also be used to protect against certain supply chain risks including, for example, incorporating tamper-resistant hardware into a design.

Related Controls: PL-8, PM-7, RA-2, RA-3, RA-9, SA-3, SA-4, SA-12, SA-15, SA-17, SA-20, SC- 2, SC-3, SC-32, SC-39.

Control Enhancements: None.

References: FIPS Publications 199, 200; NIST Special Publications 800-53A, 800-60-1, 800-60-2,

800-64, 800-160; NIST Interagency Report 8062.

 

SA-9      EXTERNAL SYSTEM SERVICES

Control:

1. Require that providers of external system services comply with organizational security and privacy requirements and employ [Assignment: organization-defined security and privacy controls];
2. Define and document organizational oversight and user roles and responsibilities with regard to external system services; and
3. Employ [Assignment: organization-defined processes, methods, and techniques] to monitor security and privacy control compliance by external service providers on an ongoing

Supplemental Guidance:  External system services are those services that are implemented external to authorization boundaries of organizational systems. This includes services that are used by, but not a part of, organizational systems. Organizations establish relationships with external service providers in a variety of ways including, for example, through business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, joint ventures, and supply chain exchanges. The responsibility for managing risks from the use of external 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 provider in the 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 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 implemented security and privacy controls; describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.

Related Controls: CA-3, CP-2, IR-4, IR-7, PL-10, PL-11, PS-7, SA-2, SA-4, SA-12.

Control Enhancements:

• EXTERNAL SYSTEM SERVICES | RISK ASSESSMENTS AND ORGANIZATIONAL APPROVALS
  • Conduct an organizational assessment of risk prior to the acquisition or outsourcing of information security services; and
  • Verify that the acquisition or outsourcing of dedicated information security services is approved by [Assignment: organization-defined personnel or roles].

Supplemental Guidance: Examples of information security services include the operation of security devices such as firewalls, or key management services; and incident monitoring,

 

analysis and response. Risks assessed may include, for example, system-related, mission- related, privacy-related, or supply chain-related risks.

Related Controls: CA-6, RA-3.

• EXTERNAL SYSTEM SERVICES | IDENTIFICATION OF FUNCTIONS, PORTS, PROTOCOLS, AND SERVICES

Require providers of [Assignment: organization-defined external system services] to identify the functions, ports, protocols, and other services required for the use of such services.

Supplemental Guidance: Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be useful when the need arises to understand the trade-offs involved in restricting certain functions and services or blocking certain ports and protocols.

Related Controls: CM-6, CM-7.

• EXTERNAL SYSTEM SERVICES | ESTABLISH AND MAINTAIN TRUST RELATIONSHIP WITH PROVIDERS

Establish, document, and maintain trust relationships with external service providers based on [Assignment: organization-defined security and privacy requirements, properties, factors, or conditions defining acceptable trust relationships].

Supplemental Guidance: The 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 organizations to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered. They can also be useful when conducting incident response or when planning for upgrades or obsolescence. Trust relationships can be complicated due to the number of potential entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and types of interactions between the parties. In some cases, the degree of trust is based on the level of control organizations can exert on external service providers regarding the controls necessary for the protection of the service, information, or individual privacy and the evidence brought forth as to the effectiveness of the implemented controls. The level of control is established by the terms and conditions of the contracts or service-level agreements. Extensive control may include negotiating contracts or agreements that specify security and privacy requirements for providers. Limited control may include using contracts or service-level agreements to obtain commodity services such as commercial telecommunications services.

Related Controls: SA-12.

• EXTERNAL SYSTEM SERVICES | CONSISTENT INTERESTS OF CONSUMERS AND PROVIDERS

Take [Assignment: organization-defined actions] to verify that the interests of [Assignment: organization-defined external service providers] are consistent with and reflect organizational interests.

Supplemental Guidance: As organizations increasingly use external service providers, it is possible that the interests of the service providers may diverge from organizational interests. In such situations, simply having the required technical, management, or operational controls in place may not be sufficient if the providers that implement and manage those controls are not operating in a manner consistent with the interests of the consuming organizations. The 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, including providers with which organizations have had successful trust relationships; and conducting routine periodic, unscheduled visits to service provider facilities.

Related Controls: None.

• EXTERNAL SYSTEM SERVICES | PROCESSING, STORAGE, AND SERVICE LOCATION

Restrict the location of [Selection (one or more): information processing; information or data; system services] to [Assignment: organization-defined locations] based on [Assignment: organization-defined requirements or conditions].

Supplemental Guidance: The location of information processing, information and data storage, or system services that are critical to organizations can have a direct impact on the ability of

 

those organizations to successfully execute their missions and business functions. This occurs when external providers control the location of processing, storage, or services. The criteria that external providers use for the selection of processing, storage, or service locations may be different from the criteria organizations use. For example, organizations may desire that data or information storage locations are restricted to certain locations to help facilitate incident response activities in case of information security or privacy incidents. Such incident response activities including, for example, forensic analyses and after-the-fact investigations, may be adversely affected by the governing laws or protocols in the locations where processing and storage occur and/or the locations from which system services emanate.

Related Controls: SA-5, SA-12.

• EXTERNAL SYSTEM SERVICES | ORGANIZATION-CONTROLLED CRYPTOGRAPHIC KEYS

Maintain exclusive control of cryptographic keys.

Supplemental Guidance: Maintaining exclusive control of cryptographic keys in an external system prevents decryption of organizational data by external system staff. This enhancement can be implemented, for example, by encrypting and decrypting data inside the organization as data is sent to and received from the external system or through use of a component that permits encryption and decryption functions to be local to the external system, but allows the organization exclusive access to encryption keys.

Related Controls: SC-12, SC-13, SI-4.

• EXTERNAL SYSTEM SERVICES | ORGANIZATION-CONTROLLED INTEGRITY CHECKING

Provide the capability to check the integrity of organizational information while it resides in the external system.

Supplemental Guidance: Storage of organizational information in an external system could limit organizational visibility into the security status of its data. The ability for the organization to verify and validate the integrity of its stored data without transferring it out of the external system provides such visibility.

Related Controls: SI-7.

References: NIST Special Publications 800-35, 800-161.

 

SA-10 DEVELOPER CONFIGURATION MANAGEMENT

Control: Require the developer of the system, system component, or system service to:

1. Perform configuration management during system, component, or service [Selection (one or more): design; development; implementation; operation; disposal];
2. Document, manage, and control the integrity of changes to [Assignment: organization-defined configuration items under configuration management];
3. Implement only organization-approved changes to the system, component, or service;
4. Document approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and
5. Track security flaws and flaw resolution within the system, component, or service and report findings to [Assignment: organization-defined personnel].

Supplemental Guidance: Organizations consider the quality and completeness of the configuration management activities conducted by developers as direct evidence of applying effective security controls. Controls include, for example, protecting from unauthorized modification or destruction, the master copies of material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the system, system component, or system service requires strict configuration control throughout the system development life cycle to track authorized changes and to prevent unauthorized changes. The configuration items that are placed under configuration management include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code

 

and hardware schematics; the current running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and source code with previous versions; and test fixtures and documentation. Depending on the mission and 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 system life cycle.

Related Controls: CM-2, CM-3, CM-4, CM-7, CM-9, SA-4, SA-5, SA-12, SI-2.

Control Enhancements:

• DEVELOPER CONFIGURATION MANAGEMENT | SOFTWARE AND FIRMWARE INTEGRITY VERIFICATION

Require the developer of the system, system component, or system service to enable integrity verification of software and firmware components.

Supplemental Guidance: This control enhancement allows organizations to detect unauthorized changes to software and firmware components using developer-provided tools, techniques, and mechanisms. 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.

Related Controls: SI-7.

• DEVELOPER CONFIGURATION MANAGEMENT | ALTERNATIVE CONFIGURATION MANAGEMENT PROCESSES

Provide an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team.

Supplemental Guidance: Alternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf information technology products. Alternate configuration management processes include organizational personnel that review and approve proposed changes to systems, system components, and system services; and that conduct security and privacy impact analyses prior to the implementation of changes to systems, components, or services.

Related Controls: None.

• DEVELOPER CONFIGURATION MANAGEMENT | HARDWARE INTEGRITY VERIFICATION

Require the developer of the system, system component, or system service to enable integrity verification of hardware components.

Supplemental Guidance: This control enhancement allows organizations to detect unauthorized changes to hardware components using developer-provided tools, techniques, methods, and mechanisms. 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.

Related Controls: SI-7.

• DEVELOPER CONFIGURATION MANAGEMENT | TRUSTED GENERATION

Require the developer of the system, system component, or system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions, source code, and object code with previous versions.

Supplemental Guidance: This control enhancement addresses authorized changes to hardware, software, and firmware components between versions during development. The focus is on the efficacy of the configuration management process by the developer to ensure that newly generated versions of security-relevant hardware descriptions, source code, and object code continue to enforce the security policy for the system, system component, or system service. In contrast, SA-10(1) and SA-10(3) allow organizations to detect unauthorized changes to hardware, software, and firmware components using tools, techniques, and/or mechanisms provided by developers.

Related Controls: None.

 

• DEVELOPER CONFIGURATION MANAGEMENT | MAPPING INTEGRITY FOR VERSION CONTROL

Require the developer of the system, system component, or 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.

Supplemental Guidance: This 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 systems supporting critical missions and business functions.

Related Controls: None.

• DEVELOPER CONFIGURATION MANAGEMENT | TRUSTED DISTRIBUTION

Require the developer of the system, system component, or 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.

Supplemental Guidance: The trusted distribution of security-relevant hardware, software, and firmware updates ensure that such updates are correct representations of the master copies maintained by the developer and have not been tampered with during distribution.

Related Controls: None.

References: FIPS Publications 140-2, 180-4, 202; NIST Special Publication 800-128.

 

SA-11 DEVELOPER TESTING AND EVALUATION

Control: Require the developer of the system, system component, or system service, at all post- design phases of the system development life cycle, to:

1. Create and implement a security and privacy assessment plan;
2. Perform [Selection (one or more): unit; integration; system; regression] testing/evaluation [Assignment: organization-defined frequency] at [Assignment: organization-defined depth and coverage];
3. Produce evidence of the execution of the assessment plan and the results of the testing and evaluation;
4. Implement a verifiable flaw remediation process; and
5. Correct flaws identified during testing and

Supplemental Guidance: Developmental testing and evaluation confirms that the required security and privacy controls are implemented correctly, operating as intended, enforcing the desired security and privacy policies, and meeting established security and privacy requirements. Security properties of systems and the privacy of individuals may be affected by the interconnection of system components or changes to those components. These interconnections or changes including, for example, upgrading or replacing applications, operating systems, and firmware, may adversely affect previously implemented security and privacy controls. This control provides additional types of testing and 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 use these analysis approaches in a variety of tools and in source code reviews. Security and privacy 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 testing and evaluation refers to the rigor and level of detail associated with the assessment process. The coverage of testing and 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 and privacy assessment plans, flaw remediation processes, and the evidence that the plans and

 

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 system. Contracts may specify documentation protection requirements.

Related Controls: CA-2, CA-7, CM-4, SA-3, SA-4, SA-5, SA-12, SA-15, SA-17, SI-2.

Control Enhancements:

• DEVELOPER TESTING AND EVALUATION | STATIC CODE ANALYSIS

Require the developer of the system, system component, or system service to employ static code analysis tools to identify common flaws and document the results of the analysis.

Supplemental Guidance: Static code analysis provides a technology and methodology for security reviews and may include, for example, checking for weaknesses in the code and checking for incorporation of libraries or other included code with known vulnerabilities or that are out-of-date and not supported. Such analysis can be used to identify vulnerabilities and enforce secure 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 remediated. An excessively high density of ignored findings, commonly referred to as false positives, indicates a potential problem with the analysis process or the analysis tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.

Related Controls: None.

• DEVELOPER TESTING AND EVALUATION | THREAT MODELING AND VULNERABILITY ANALYSES

Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses at [Assignment: organization-defined breadth and depth] during development and during the subsequent testing and evaluation of the system, component, or service that:

• Uses [Assignment: organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels];
• Employs [Assignment: organization-defined tools and methods]; and
• Produces evidence that meets [Assignment: organization-defined acceptance criteria].

Supplemental Guidance: Systems, system components, and system services may deviate significantly from the functional and design specifications created during the requirements and design phases of the system development life cycle. Therefore, threat modeling and vulnerability analyses of those systems, system components, and system services prior to delivery are critical to the effective operation of those systems, components, and services. Threat modeling and vulnerability analyses at this phase of the system development life cycle ensure that design and implementation changes have been accounted for and vulnerabilities created because of those changes have been reviewed and mitigated.

Related controls: PM-15, RA-3, RA-5.

• DEVELOPER TESTING AND EVALUATION | INDEPENDENT VERIFICATION OF ASSESSMENT PLANS AND EVIDENCE
  • Require an independent agent satisfying [Assignment: organization-defined independence criteria] to verify the correct implementation of the developer security and privacy assessment plans and the evidence produced during testing and evaluation; and
  • Verify that the independent agent is provided with sufficient information to complete the verification process or granted the authority to obtain such

Supplemental Guidance: Independent agents have the necessary qualifications, including the expertise, skills, training, certifications, and experience, to verify the correct implementation of developer security and privacy assessment plans.

Related Controls: AT-3, RA-5.

 

• DEVELOPER TESTING AND EVALUATION | MANUAL CODE REVIEWS

Require the developer of the system, system component, or system service to perform a manual code review of [Assignment: organization-defined specific code] using [Assignment: organization- defined processes, procedures, and/or techniques].

Supplemental Guidance: Manual code reviews are usually reserved for the critical software and firmware components of systems. Such code reviews are effective in identifying weaknesses that require knowledge of the application’s requirements or context which in most cases, are unavailable to automated analytic tools and techniques including static and 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.

Related Controls: None.

• DEVELOPER TESTING AND EVALUATION | PENETRATION TESTING

Require the developer of the system, system component, or system service to perform penetration testing at [Assignment: organization-defined breadth and depth] and with [Assignment: organization-defined constraints].

Supplemental Guidance: Penetration testing is an assessment methodology in which assessors, using all available information technology product or system documentation and working under specific constraints, attempt to circumvent implemented security and privacy features of information technology products and systems. Useful information for assessors conducting penetration testing can include, for example, product and system design specifications, source code, and administrator and operator manuals. Penetration testing can include white-box, gray-box, or black box testing with associated analyses performed by skilled professionals simulating adversary actions. The objective of penetration testing is to uncover the potential vulnerabilities in systems, system components and services resulting from implementation errors, configuration faults, or other operational 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.

Related Controls: CA-8.

• DEVELOPER TESTING AND EVALUATION | ATTACK SURFACE REVIEWS

Require the developer of the system, system component, or system service to perform attack surface reviews.

Supplemental Guidance: Attack surfaces of systems and system components are exposed areas that make those systems more vulnerable to attacks. This includes any accessible areas where weaknesses or deficiencies in the hardware, software, and firmware components provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers analyze the design and implementation changes to systems and mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes, for example, deprecation of unsafe functions.

Related Controls: None.

• DEVELOPER TESTING AND EVALUATION | VERIFY SCOPE OF TESTING AND EVALUATION

Require the developer of the system, system component, or system service to verify that the scope of testing and evaluation provides complete coverage of required security and privacy controls at [Assignment: organization-defined depth of testing and evaluation].

Supplemental Guidance: Verifying that testing and evaluation provides complete coverage of required security and privacy 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 control coverage at the highest levels of assurance can be provided using formal modeling and analysis techniques including correlation between control implementation and corresponding test cases.

Related Controls: None.

 

• DEVELOPER TESTING AND EVALUATION | DYNAMIC CODE ANALYSIS

Require the developer of the system, system component, or system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.

Supplemental Guidance: Dynamic 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 ensure that security functionality performs in the way 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 associated 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).

Related Controls: None.

References: ISO/IEC 15408; NIST Special Publications 800-30, 800-53A, 800-154.

 

SA-12 SUPPLY CHAIN RISK MANAGEMENT

Control:

1. Employ [Assignment: organization-defined supply chain safeguards] to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events; and
2. Document the selected and implemented supply chain safeguards in [Selection: security and privacy plans; supply chain risk management plan; [Assignment: organization-defined document]].

Supplemental Guidance: Supply chain-related events including, for example, disruption, theft, insertion of counterfeits, insertion of malicious code, malicious development practices, improper delivery practices, and use of defective components, can adversely impact the confidentiality, integrity, or availability of information processed, stored, or transmitted by a system. Such events can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. Supply chain- related events may be unintentional or malicious and occur at any point during the system life cycle. Managing supply chain risks involves gaining visibility and understanding of the processes and procedures used to protect the system, system component, or system service throughout the system life cycle. This allows organizations to make appropriate acquisition decisions and to identify appropriate mitigation strategies. A supply chain risk management plan includes, for example, an unambiguous expression of the supply chain risk tolerance for the system, acceptable supply chain risk mitigation strategies or controls, a description of and justification for supply chain protection measures taken, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the supply chain risk management plan, and associated roles and responsibilities.

Related Controls: AT-3, CM-8, IR-4, IR-6, MA-2, MA-6, PE-3, PE-16, PL-8, PM-31, RA-3, RA-7,

RA-9, SA-2, SA-3, SA-4, SA-5, SA-8, SA-9, SA-10, SA-15, SA-18, SA-19, SC-7, SC-29, SC-30, SC-38, SI-7.

Control Enhancements:

• SUPPLY CHAIN RISK MANAGEMENT | ACQUISITION STRATEGIES, TOOLS, AND METHODS

Employ [Assignment: organization-defined acquisition strategies, contract tools, and procurement methods] to protect against, identify, and mitigate supply chain risks.

Supplemental Guidance: The use of the acquisition process early in the system development life cycle provides an important vehicle to protect the supply chain. There are many useful tools

 

and techniques available including, for example, obscuring the end use of a system or system component, using blind or filtered buys, requiring tamper-evident packaging, or using trusted or controlled distribution. The results from a supply chain risk assessment can inform which strategies, tools, and methods are most applicable to the situation. Tools and techniques may provide protections against the insertion of counterfeits, tampering, theft, unauthorized production, insertion of malicious software, as well as poor manufacturing and development practices throughout the system development life cycle. Organizations also consider creating incentives for suppliers who implement security and privacy controls; promote transparency into their organizational processes and security and privacy practices; provide additional vetting of the processes and practices of subordinate suppliers, critical system components, and services; restrict purchases from specific suppliers; and provide contract language that addresses the prohibition of tainted or counterfeit components. Finally, organizations consider providing training, education, and awareness programs for organizational personnel regarding supply chain risk, available mitigation strategies, and when they should be used. 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.

Related Controls: None.

• SUPPLY CHAIN RISK MANAGEMENT | SUPPLIER REVIEWS

Review the supply chain-related risks associated with suppliers or contractors and the system, system component, or system service they provide [Assignment: organization-defined frequency].

Supplemental Guidance: A review of supplier risk may include, for example, the ability of the supplier to effectively assess or vet any subordinate second-tier and third-tier suppliers and contractors. These reviews may be conducted by the organization or by an independent third party. The reviews consider documented processes, documented controls, publicly available information related to the supplier or contractor, and all-source intelligence where possible. The organization can use open-source information to monitor for indications of stolen CUI, poor development and quality control practices, information spillage, or counterfeits. In some cases, it may be appropriate to share review results with other organizations in accordance with any applicable inter-organizational agreements or contracts.

Related Controls: None.

• SUPPLY CHAIN RISK MANAGEMENT | TRUSTED SHIPPING AND WAREHOUSING

[Withdrawn: Incorporated into SA-12(1)].

• SUPPLY CHAIN RISK MANAGEMENT | DIVERSITY OF SUPPLIERS

[Withdrawn: Incorporated into SA-12(13)].

• SUPPLY CHAIN RISK MANAGEMENT | LIMITATION OF HARM

Employ [Assignment: organization-defined safeguards] to limit harm from potential adversaries identifying and targeting the organizational supply chain.

Supplemental Guidance: Safeguards that can be implemented to reduce the probability of adversaries successfully identifying and targeting the supply chain include, for example, avoiding the purchase of custom or non-standardized configurations; employing a diverse set of suppliers; employing approved vendor lists with standing reputations in industry; using procurement carve outs that provide exclusions to commitments or obligations; and designing the system to include diversity of materials, components, and paths. In addition, organizations consider minimizing the time between purchase decisions and required delivery to limit the opportunities for adversaries to corrupt system components.

Related Controls: None.

• SUPPLY CHAIN RISK MANAGEMENT | MINIMIZING PROCUREMENT TIME

[Withdrawn: Incorporated into SA-12(1)].

• SUPPLY CHAIN RISK MANAGEMENT | ASSESSMENTS PRIOR TO SELECTION, ACCEPTANCE, AND UPDATE

Assess the system, system component, or system service prior to selection, acceptance, modification, or update.

 

Supplemental Guidance: Organizational personnel or independent, external entities conduct assessments of systems, components, products, tools, and services to uncover unintentional and intentional vulnerabilities, evidence of tampering, or evidence of non-compliance with supply chain controls. These include, for example, malicious code, malicious processes, defective software, and counterfeits. Assessments can include, for example, visual or physical inspection; evaluations; design proposal reviews; static and dynamic analyses; visual, x-ray, or magnetic particle inspections; simulations; white, gray, and black box testing; fuzz testing; stress testing; and penetration testing. Organizations can also ensure that the components or services are genuine by using, for example, tags, cryptographic hash verifications, or digital signatures. Evidence generated during security assessments is documented for follow-on actions carried out by organizations.

Related Controls: CA-2, CA-8, RA-5, SA-11, SI-7.

• SUPPLY CHAIN RISK MANAGEMENT | USE OF ALL-SOURCE INTELLIGENCE

Use all-source intelligence to assist in the analysis of supply chain risk.

Supplemental Guidance: Organizations employ all-source intelligence to inform engineering, acquisition, and supply chain risk management decisions. All-source intelligence consists of information derived from all available sources, including, for example, publicly available or open-source information; human intelligence; signals intelligence; imagery intelligence; and measurement and signature intelligence. This information is used to analyze the risk of intentional and unintentional vulnerabilities from development, manufacturing, and delivery processes, people, and the environment. This review may be performed on suppliers at multiple tiers in the supply chain sufficient to manage risks. Organizations may develop agreements to share all-source intelligence information or resulting decisions with other organizations, as appropriate.

Related Controls: None.

• SUPPLY CHAIN RISK MANAGEMENT | OPERATIONS SECURITY

Employ [Assignment: organization-defined Operations Security (OPSEC) safeguards] to protect supply chain-related information for the system, system component, or system service.

Supplemental Guidance: Supply chain information includes, for example, user identities; uses for systems, system components, and system services; supplier identities; supplier processes; security requirements; design specifications; testing and evaluation results; and system and 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 identify those actions that can be observed by potential adversaries; determine indicators that potential adversaries might obtain that could be interpreted or pieced together to derive information in sufficient time to cause harm to organizations; implement safeguards or countermeasures to eliminate or reduce to an acceptable level, exploitable vulnerabilities; and finally, consider how aggregated information may compromise the confidentiality of users or the specific uses of the supply chain. OPSEC may require organizations to withhold specific mission/business information from suppliers and may include the use of intermediaries to hide the end use, or users of systems, system components, or system services.

Related Controls: SC-38.

• SUPPLY CHAIN RISK MANAGEMENT | VALIDATE AS GENUINE AND NOT ALTERED

Employ [Assignment: organization-defined security safeguards] to validate that the system or system component received is genuine and has not been altered.

Supplemental Guidance: For many systems and system components, especially hardware, there are technical means to determine if the items are genuine or have been altered, including, for example, optical and nanotechnology tagging; physically unclonable functions; side-channel analysis; and visible anti-tamper stickers and labels. Safeguards can also include monitoring for out of specification performance, which can be an indicator of tampering or counterfeits. Suppliers and contractors may have processes for validating that a system or component is genuine and has not been altered, and for replacing a suspect system or component, which the

 

organization may leverage. Some indications of tampering may be visible and addressable before accepting delivery including, for example, broken seals, inconsistent packaging, and incorrect labels. The organization may consider providing training to appropriate personnel on how to identify suspicious system or component deliveries. When a system or component is suspected of being altered or counterfeit, the organization considers notifying the supplier, contractor, or original equipment manufacturer who may be able to replace the item or provide a forensic capability to determine the origin of the counterfeit or altered item.

Related Controls: SA-19.

• SUPPLY CHAIN RISK MANAGEMENT | PENETRATION TESTING AND ANALYSIS

Employ [Selection (one or more): organizational analysis, independent third-party analysis, organizational penetration testing, independent third-party penetration testing] of [Assignment: organization-defined supply chain elements, processes, and actors] associated with the system, system component, or system service.

Supplemental Guidance: This control enhancement addresses analysis or testing of the supply chain. It also considers the relationships or linkages between entities and procedures within the supply chain including, for example, development and delivery. Supply chain elements include system components that contain programmable logic and that are critically important to system functions. Supply chain processes include, for example, hardware, software, and firmware development processes; shipping and handling procedures; personnel and physical security programs; configuration management tools, techniques, and measures to maintain provenance; and programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated and collected during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions.

Related Controls: RA-5.

• SUPPLY CHAIN RISK MANAGEMENT | NOTIFICATION AGREEMENTS

Establish agreements and procedures with entities involved in the supply chain for the system, system component, or system service for the [Selection (one or more): notification of supply chain compromises; results of assessments or audits; [Assignment: organization-defined information]].

Supplemental Guidance: The establishment of agreements and procedures provides for formal communications among supply chain entities. Early notification of compromises in the supply chain that can potentially adversely affect or have adversely affected organizational systems, including critical system components, is essential for organizations to effectively respond to such incidents. The results of assessments or audits may include open-source information that contributed to a decision or result and could be used to help the supply chain entity resolve a concern or improve its processes.

Related Controls: IR-8.

• SUPPLY CHAIN RISK MANAGEMENT | CRITICAL SYSTEM COMPONENTS

[Withdrawn: Incorporated into MA-6 and RA-9].

• SUPPLY CHAIN RISK MANAGEMENT | IDENTITY AND TRACEABILITY

Establish and maintain unique identification of [Assignment: organization-defined supply chain elements, processes, and personnel] associated with the [Assignment: organization-defined system, critical system components].

Supplemental Guidance: Knowing who and what is in the supply chains of organizations is critical to gaining visibility into what is happening within such supply chains. It is also important for monitoring and identifying high-risk events and activities. Without reasonable visibility and traceability into supply chains (i.e., elements, processes, and personnel), it is very difficult for organizations to understand, and therefore manage risk, and ultimately reduce the likelihood of or susceptibility to adverse events. Supply chain elements are systems or system components that contain programmable logic and that are critically important to system functions. Supply chain processes include, for example, hardware, software, and firmware development processes; shipping and handling procedures; personnel and physical security programs; configuration management tools, techniques, and measures to maintain

 

provenance; or other programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain personnel are individuals in the supply chain with specific roles and responsibilities related to, for example, the secure development, delivery, maintenance, and disposal of a system or system component. Tracking the unique identifiers of supply chain elements, processes, and personnel establishes a foundational identity structure for assessment of supply chain activities and for the establishment and maintenance of provenance. For example, supply chain elements may be labeled using serial numbers or tagged using radio-frequency identification tags. These labels and tags can help provide the organization better visibility into the provenance of that element. Identification methods are sufficient to support a forensic investigation in the event of a supply chain compromise or event.

Related Controls: CM-8, IA-2, IA-8.

• SUPPLY CHAIN RISK MANAGEMENT | PROCESSES TO ADDRESS WEAKNESSES OR DEFICIENCIES

Establish a process or processes to address weaknesses or deficiencies in supply chain elements in coordination with [Assignment: organization-defined supply chain personnel].

Supplemental Guidance: Supply chain elements are system or system components that contain programmable logic and that are critically important to system functions. Supply chain processes include, for example, hardware, software, and firmware development processes; shipping and handling procedures; personnel and physical security programs; configuration management tools, techniques, and measures to maintain provenance; or other programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain personnel are individuals with specific roles and responsibilities in the supply chain. The evidence generated during the independent or organizational assessments of designated supply chain elements may be used to improve the supply chain processes and inform the organization’s supply chain risk management process. The evidence can also be leveraged in follow-on assessments. Evidence and other related documentation may be shared in accordance with organizational agreements.

Related Controls: None.

• SUPPLY CHAIN RISK MANAGEMENT | PROVENANCE

Document, monitor, and maintain valid provenance of [Assignment: organization-defined systems, system components, and associated data].

Supplemental Guidance: Every system and system component has a point of origin and may be changed throughout its existence. Provenance is the chronology of the origin, development, ownership, location, and changes to a system or system component and associated data. It may also include personnel and processes used to interact with or make modifications to the system, component, or associated data. Organizations consider developing procedures for allocating responsibilities for the creation, maintenance, and monitoring of provenance for systems and components; transferring provenance documentation and responsibility between organizations; and preventing and monitoring for unauthorized changes to the provenance records. Organizations consider developing methods to document, monitor, and maintain valid provenance baselines for systems, system components, and related data. Such actions help track, assess, and document changes to the provenance, including changes in supply chain elements or configuration, and ensure non-repudiation of provenance information and the provenance change records.

Related Controls: RA-9.

References: FIPS Publications 140-2, 180-4, 186-4, 202; NIST Special Publications 800-30, 800-

161; NIST Interagency Report 7622.

SA-13 TRUSTWORTHINESS

[Withdrawn: Incorporated into SA-8].

SA-14 CRITICALITY ANALYSIS

[Withdrawn: Incorporated into RA-9].

SA-15 DEVELOPMENT PROCESS, STANDARDS, AND TOOLS

Control:

1. Require the developer of the system, system component, or system service to follow a documented development process that:
   1. Explicitly addresses security requirements;
   2. Identifies the standards and tools used in the development process;
   3. Documents the specific tool options and tool configurations used in the development process; and
   4. Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and
2. Review the development process, standards, tools, tool options, and tool configurations [Assignment: organization-defined frequency] to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy [Assignment: organization-defined security and privacy requirements].

Supplemental Guidance: Development tools include, for example, programming languages and computer-aided design 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 facilitates effective supply chain risk assessment and mitigation. Such integrity requires configuration control throughout the system development life cycle to track authorized changes and to prevent unauthorized changes.

Related Controls: MA-6, SA-3, SA-4, SA-8, SA-11, SA-12.

Control Enhancements:

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | QUALITY METRICS

Require the developer of the system, system component, or system service to:

• Define quality metrics at the beginning of the development process; and
• Provide evidence of meeting the quality metrics [Selection (one or more): [Assignment: organization-defined frequency]; [Assignment: organization-defined program review milestones]; upon delivery].

Supplemental Guidance: Organizations use quality metrics to establish acceptable levels of system quality. Metrics may include quality gates which are collections of completion criteria or sufficiency standards representing the satisfactory execution of specific phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or a determination that such warnings have no impact on the effectiveness of required security or privacy 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 system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High.

Related Controls: None.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | SECURITY TRACKING TOOLS

Require the developer of the system, system component, or system service to select and employ a security tracking tool for use during the development process.

Supplemental Guidance: 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.

 

Related Controls: SA-11.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | CRITICALITY ANALYSIS

Require the developer of the system, system component, or system service to perform a criticality analysis at [Assignment: organization-defined breadth/depth] and at [Assignment: organization- defined decision points in the system development life cycle].

Supplemental Guidance: This control enhancement provides developer input to the criticality analysis performed by organizations. Developer input is essential to such analysis because organizations may not have access to detailed design documentation for system components that are developed as commercial off-the-shelf products. Such design documentation includes, for example, functional specifications, high-level designs, low-level designs, and source code and hardware schematics. Criticality analysis is important for organizational systems that are designated as high value assets. Such assets can be moderate- or high-impact systems due to the potential for serious, severe, or catastrophic adverse impacts on organizational missions or business functions.

Related Controls: RA-9.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | THREAT MODELING AND VULNERABILITY ANALYSIS

[Withdrawn: Incorporated into SA-11(2)].

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | ATTACK SURFACE REDUCTION

Require the developer of the system, system component, or system service to reduce attack surfaces to [Assignment: organization-defined thresholds].

Supplemental Guidance: Attack surface reduction is closely aligned with developer threat and vulnerability analyses and 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 systems, system components, and system services. Attack surface reduction includes, for example, employing the concept of layered defenses; applying the principles of least privilege and least functionality; deprecating unsafe functions; applying secure software development practices including, for example, reducing the amount of code executing and reducing entry points available to unauthorized users; and eliminating application programming interfaces (APIs) that are vulnerable to attacks.

Related Controls: AC-6, CM-7, RA-3.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | CONTINUOUS IMPROVEMENT

Require the developer of the system, system component, or system service to implement an explicit process to continuously improve the development process.

Supplemental Guidance: Developers of systems, system components, and system services consider the effectiveness and efficiency of their current development processes for meeting quality objectives and for addressing the security and privacy capabilities in current threat environments.

Related Controls: None.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | AUTOMATED VULNERABILITY ANALYSIS

Require the developer of the system, system component, or system service to:

• Perform an automated vulnerability analysis using [Assignment: organization-defined tools];
• Determine the exploitation potential for discovered vulnerabilities;
• Determine potential risk mitigations for delivered vulnerabilities; and
• Deliver the outputs of the tools and results of the analysis to [Assignment: organization- defined personnel or roles].

Supplemental Guidance: None.

Related Controls: RA-5, SA-11.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | REUSE OF THREAT AND VULNERABILITY INFORMATION

Require the developer of the system, system component, or system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.

 

Supplemental Guidance: Analysis of vulnerabilities found in similar software applications can inform potential design and implementation issues for systems under development. Similar systems or system components may exist within developer organizations. Vulnerability information is available from a variety of public and private sector sources including, for example, the NIST National Vulnerability Database.

Related Controls: None.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | USE OF LIVE DATA

[Withdrawn: Incorporated into SA-3(2)].

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | INCIDENT RESPONSE PLAN

Require the developer of the system, system component, or system service to provide, implement, and test an incident response plan.

Supplemental Guidance: The incident response plan provided by developers of systems, system components, and system services may be incorporated into organizational incident response plans. This information provides the type of incident response information that is not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf products.

Related Controls: IR-8.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | ARCHIVE SYSTEM OR COMPONENT

Require the developer of the system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security and privacy review.

Supplemental Guidance: Archiving system or system components requires the developer to retain key development artifacts including, for example, hardware specifications, source code, object code, and any relevant documentation from the development process that can provide a readily available configuration baseline for system and component upgrades or modifications.

Related Controls: None.

References: None.

 

SA-16 DEVELOPER-PROVIDED TRAINING

Control: Require the developer of the system, system component, or system service to provide [Assignment: organization-defined training] on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms.

Supplemental Guidance: This control applies to external and internal (in-house) developers. Training of personnel is an essential element to ensure the effectiveness of the security and privacy controls implemented within organizational systems. Training options include, for example, web-based and computer-based training; classroom-style training; and hands-on training. Organizations can also request 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 and privacy functions, controls, and mechanisms.

Related Controls: AT-2, AT-3, PE-3, SA-4, SA-5.

Control Enhancements: None.

References: None.

 

SA-17 DEVELOPER SECURITY ARCHITECTURE AND DESIGN

Control: Require the developer of the system, system component, or system service to produce a design specification and security architecture that:

1. Is 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;

 

1. Accurately and completely describes the required security functionality, and the allocation of security controls among physical and logical components; and
2. Expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to

Supplemental Guidance: This 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 ensure that organizations develop a security architecture and that the architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important when organizations outsource the development of systems, system components, or system services to external entities, and when there is a requirement to demonstrate consistency with the enterprise architecture and security architecture of the organization. ISO/IEC 15408 provides additional information on security architecture and design including, for example, formal policy models, security-relevant components, formal and informal correspondence, conceptually simple design, and structuring for least privilege and testing.

Related Controls: PL-2, PL-8, PM-7, SA-3, SA-4, SA-8.

Control Enhancements:

• DEVELOPER SECURITY ARCHITECTURE AND DESIGN | FORMAL POLICY MODEL

Require the developer of the system, system component, or system service to:

• Produce, as an integral part of the development process, a formal policy model describing the [Assignment: organization-defined elements of organizational security policy] to be enforced; and
• Prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when

Supplemental Guidance: Formal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors and policies to be formally proven. Not all components of systems can be modeled. Generally, formal specifications are scoped to the specific behaviors or policies of interest, for example, nondiscretionary access control policies. Organizations choose the formal modeling language and approach based on the nature of the behaviors and policies to be described and the available tools. Examples of formal modeling tools include Gypsy and Zed.

Related Controls: None.

• DEVELOPER SECURITY ARCHITECTURE AND DESIGN | SECURITY-RELEVANT COMPONENTS

Require the developer of the system, system component, or system service to:

• Define security-relevant hardware, software, and firmware; and
• Provide a rationale that the definition for security-relevant hardware, software, and firmware is complete.

Supplemental Guidance: The security-relevant hardware, software, and firmware represent the portion of the system, component, or service that must be trusted to perform correctly to maintain required security properties.

Related Controls: SA-5.

• DEVELOPER SECURITY ARCHITECTURE AND DESIGN | FORMAL CORRESPONDENCE

Require the developer of the system, system component, or system service to:

• Produce, 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;
• Show 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;
• Show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
• Show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and

 

• Describe 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

Supplemental Guidance: Correspondence 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 that are 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 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 and informal methods may be needed to show such consistency. Consistency between the formal top-level specification and the actual 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 and output.

Related Controls: SA-5.

• DEVELOPER SECURITY ARCHITECTURE AND DESIGN | INFORMAL CORRESPONDENCE

Require the developer of the system, system component, or system service to:

• Produce, 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;
• Show via [Selection: informal demonstration, convincing argument with formal methods as feasible] that the descriptive top-level specification is consistent with the formal policy model;
• Show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
• Show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and
• Describe 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

Supplemental Guidance: Correspondence 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 and 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 and output.

Related Controls: SA-5.

• DEVELOPER SECURITY ARCHITECTURE AND DESIGN | CONCEPTUALLY SIMPLE DESIGN

Require the developer of the system, system component, or system service to:

• Design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and
• Internally structure the security-relevant hardware, software, and firmware with specific regard for this

Supplemental Guidance: None.

Related Controls: SC-3.

• DEVELOPER SECURITY ARCHITECTURE AND DESIGN | STRUCTURE FOR TESTING

Require the developer of the system, system component, or system service to structure security- relevant hardware, software, and firmware to facilitate testing.

Supplemental Guidance: None.

 

Related Controls: SA-5, SA-11.

• DEVELOPER SECURITY ARCHITECTURE AND DESIGN | STRUCTURE FOR LEAST PRIVILEGE

Require the developer of the system, system component, or system service to structure security- relevant hardware, software, and firmware to facilitate controlling access with least privilege.

Supplemental Guidance:  None.

Related Controls:  AC-5, AC-6.

References: ISO/IEC 15408; NIST Special Publication 800-160.

 

SA-18 TAMPER RESISTANCE AND DETECTION

Control: Implement a tamper protection program for the system, system component, or system service.

Supplemental Guidance: Anti-tamper technologies, tools, and techniques provide a level of protection for systems and system components against many threats including reverse engineering, modification, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting systems and components during distribution and when in use.

Related Controls: PE-3, SA-12, SI-7.

Control Enhancements:

• TAMPER RESISTANCE AND DETECTION | MULTIPLE PHASES OF SYSTEM DEVELOPMENT LIFE CYCLE

Employ anti-tamper technologies, tools, and techniques during multiple phases in the system development life cycle including design, development, integration, operations, and maintenance.

Supplemental Guidance: Organizations 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. The customization of systems and system components can make substitutions easier to detect and therefore limit damage.

Related Controls: SA-3.

• TAMPER RESISTANCE AND DETECTION | INSPECTION OF SYSTEMS OR COMPONENTS

Inspect [Assignment: organization-defined systems or system components] [Selection (one or more): at random; at [Assignment: organization-defined frequency], upon [Assignment: organization-defined indications of need for inspection]] to detect tampering.

Supplemental Guidance: This control enhancement addresses 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 a need for inspection include, for example, when individuals return from travel to high-risk locations.

Related Controls: SI-4.

References: None.

 

SA-19 COMPONENT AUTHENTICITY

Control:

1. Develop and implement anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the system; and
2. Report counterfeit system components to [Selection (one or more): source of counterfeit component; [Assignment: organization-defined external reporting organizations]; [Assignment: organization-defined personnel or roles]].

Supplemental Guidance: Sources 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.

Related Controls: PE-3, SA-12, SI-7.

Control Enhancements:

• COMPONENT AUTHENTICITY | ANTI-COUNTERFEIT TRAINING

Train [Assignment: organization-defined personnel or roles] to detect counterfeit system components (including hardware, software, and firmware).

Supplemental Guidance: None.

Related Controls: AT-3.

• COMPONENT AUTHENTICITY | CONFIGURATION CONTROL FOR COMPONENT SERVICE AND REPAIR

Maintain configuration control over [Assignment: organization-defined system components] awaiting service or repair and serviced or repaired components awaiting return to service.

Supplemental Guidance: None.

Related Controls: CM-3.

• COMPONENT AUTHENTICITY | COMPONENT DISPOSAL

Dispose of system components using [Assignment: organization-defined techniques and methods].

Supplemental Guidance: Proper disposal of system components helps to prevent such components from entering the gray market.

Related Controls: MP-6.

• COMPONENT AUTHENTICITY | ANTI-COUNTERFEIT SCANNING

Scan for counterfeit system components [Assignment: organization-defined frequency].

Supplemental Guidance: None.

Related Controls: RA-5.

References: None.

 

SA-20 CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS

Control: Re-implement or custom develops [Assignment: organization-defined critical system components].

Supplemental Guidance: Organizations determine that certain 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 system components, additional safeguards can be employed. These include, for example, enhanced auditing; restrictions on source code and system utility access; and protection from deletion of system and application files.

Related Controls: CP-2, RA-9, SA-8.

Control Enhancements: None.

References: None.

 

SA-21 DEVELOPER SCREENING

Control: Require that the developer of [Assignment: organization-defined system, system component, or system service]:

 

1. Have appropriate access authorizations as determined by assigned [Assignment: organization- defined official government duties];
2. Satisfy [Assignment: organization-defined additional personnel screening criteria]; and
3. Provide information that the access authorizations and screening criteria specified in a. and b. are

Supplemental Guidance: This control is directed at external developers. Because the system, system component, or system service may be employed in critical activities essential to the national 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 system/component/service once deployed.

Examples of authorization and personnel screening criteria include clearances, 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 and reliability of the systems, components, or services being developed. Satisfying required access authorizations and personnel screening criteria includes, for example, providing a list of all individuals who are authorized to perform development activities on the selected system, system component, or system service so that organizations can validate that the developer has satisfied the authorization and screening requirements.

Related Controls: PS-2, PS-3, PS-6, PS-7, SA-4.

Control Enhancements:

(1) DEVELOPER SCREENING | VALIDATION OF SCREENING

[Withdrawn: Incorporated into SA-21].

References: None.

 

SA-22 UNSUPPORTED SYSTEM COMPONENTS

Control: Replace system components when support for the components is no longer available from the developer, vendor, or manufacturer.

Supplemental Guidance: Support for system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components, for example, when vendors no longer provide critical software patches or product updates, provide an opportunity for adversaries to exploit weaknesses in the installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission or business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.

Related Controls: PL-2, SA-3.

Control Enhancements:

(1) UNSUPPORTED SYSTEM COMPONENTS | ALTERNATIVE SOURCES FOR CONTINUED SUPPORT

Provide [Selection (one or more): in-house support; [Assignment: organization-defined support from external providers]] for unsupported system components.

Supplemental Guidance: This control enhancement addresses the need to provide continued support for system components that are no longer supported by the original manufacturers, developers, or vendors when such components remain essential to organizational mission and business operations. Organizations can establish in-house support, for example, by developing customized patches for critical software components or alternatively, obtain 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.

Related Controls: None.

References: None.

DEVELOPMENT OF SYSTEMS, COMPONENTS, AND SERVICES

With a renewed nation-wide emphasis on the use of trustworthy systems and supply chain security, it is essential that organizations can express their security and privacy requirements with clarity and specificity to engage industry and obtain the systems, components, and services necessary for mission/business success. Accordingly, this publication provides a comprehensive set of controls in the System and Services Acquisition (SA) family that address requirements for the development of systems, components, and system services. To that end, many of the controls in the SA family are directed at developers of those systems, components, and services. It is important for organizations to recognize that the scope of the controls in that family includes system, component, and service development and the developers associated with such development whether the development is conducted either internally or externally by industry partners (i.e., manufacturers, vendors, integrators) through the contracting and acquisition processes. The affected controls in the control catalog include SA-8, SA-10, SA-11, SA-15, SA-16, SA-17, SA-20, and SA-21.

Security and Privacy Controls for Information Systems and Organizations

This publication contains a comprehensive catalog of technical and nontechnical security and privacy controls. The controls can support a variety of specialty applications including the Risk Management Framework, Cybersecurity Framework, and Systems Engineering Processes used for developing systems, products, components, and services and for protecting organizations, systems, and individuals.

Authority

This publication has been developed by NIST to further its statutory responsibilities under the Federal Information Security Modernization Act (FISMA) of 2014, 44 U.S.C. § 3551 et seq., Public Law (P.L.) 113-283. NIST is responsible for developing information security standards and guidelines, including minimum requirements for federal information systems, but such standards and guidelines shall not apply to national security systems without the express approval of appropriate federal officials exercising policy authority over such systems. This guideline is consistent with the requirements of the Office of Management and Budget (OMB) Circular A- 130.

Nothing in this publication should be taken to contradict the standards and guidelines made mandatory and binding on federal agencies by the Secretary of Commerce under statutory authority. Nor should these guidelines be interpreted as altering or superseding the existing authorities of the Secretary of Commerce, Director of OMB, or any other federal official. This publication may be used by nongovernmental organizations on a voluntary basis and is not subject to copyright in the United States. Attribution would, however, be appreciated by NIST.

Certain commercial entities, equipment, or materials may be identified in this document to describe an experimental procedure or concept adequately. Such identification is not intended to imply recommendation or endorsement by NIST, nor is it intended to imply that the entities, materials, or equipment are necessarily the best available for the purpose.
There may be references in this publication to other publications currently under development by NIST in accordance with its assigned statutory responsibilities. The information in this publication, including concepts, practices, and methodologies, may be used by federal agencies even before the completion of such companion publications. Thus, until each publication is completed, current requirements, guidelines, and procedures, where they exist, remain operative. For planning and transition purposes, federal agencies may wish to closely follow the development of these new publications by NIST.
Organizations are encouraged to review draft publications during the designated public comment periods and provide feedback to NIST. Many NIST cybersecurity publications, other than the ones noted above, are available at https://csrc.nist.gov/publications.

Reports on Computer Systems Technology

The Information Technology Laboratory (ITL) at the National Institute of Standards and Technology (NIST) promotes the U.S. economy and public welfare by providing technical leadership for the Nation’s measurement and standards infrastructure. ITL develops tests, test methods, reference data, proof of concept implementations, and technical analyses to advance the development and productive use of information technology (IT). ITL’s responsibilities include the development of management, administrative, technical, and physical standards and guidelines for the cost-effective security of other than national security-related information and protection of individuals’ privacy in federal information systems. The Special Publication 800-series reports on ITL’s research, guidelines, and outreach efforts in information systems security and its collaborative activities with industry, government, and academic organizations.

Abstract

This publication provides a catalog of security and privacy controls for federal information systems and organizations to protect organizational operations and assets, individuals, other organizations, and the Nation from a diverse set of threats including hostile attacks, natural disasters, structural failures, human errors, and privacy risks. The controls are flexible and customizable and implemented as part of an organization-wide process to manage risk. The controls address diverse requirements derived from mission and business needs, laws, Executive Orders, directives, regulations, policies, standards, and guidelines. The publication describes how to develop specialized sets of controls, or overlays, tailored for specific types of missions and business functions, technologies, environments of operation, and sector-specific applications.
Finally, the consolidated catalog of controls addresses security and privacy from a functionality perspective (i.e., the strength of functions and mechanisms) and an assurance perspective (i.e., the measure of confidence in the security or privacy capability). Addressing both functionality and assurance ensures that information technology products and the information systems that rely on those products are sufficiently trustworthy.

Keywords

Assurance; availability; computer security; confidentiality; FISMA; information security; integrity; personally identifiable information; Privacy Act; privacy controls; privacy functions; privacy requirements; Risk Management Framework; security controls; security functions; security requirements; system; system security.

Notes to Reviewers

As we push computers to “the edge” building an increasingly complex world of interconnected information systems and devices, security and privacy continue to dominate the national dialog. The Defense Science Board in its 2017 report, Task Force on Cyber Defense, provides a sobering assessment of the current vulnerabilities in the U.S. critical infrastructure and the information systems that support the mission essential operations and assets in the public and private sectors.
“…The Task Force notes that the cyber threat to U.S. critical infrastructure is outpacing efforts to reduce pervasive vulnerabilities, so that for the next decade at least the United States must lean significantly on deterrence to address the cyber threat posed by the most capable
U.S. adversaries. It is clear that a more proactive and systematic approach to U.S. cyber deterrence is urgently needed…”

There is an urgent need to further strengthen the underlying information systems, component products, and services that we depend on in every sector of the critical infrastructure—ensuring those systems, components, and services are sufficiently trustworthy and provide the necessary resilience to support the economic and national security interests of the United States. This update to NIST Special Publication 800-53 (Revision 5) responds to the call by the Defense Science Board by embarking on a proactive and systemic approach to develop and make available to a broad base of public and private sector organizations, a comprehensive set of safeguarding measures for all types of computing platforms, including general purpose computing systems, cyber-physical systems, cloud and mobile systems, industrial/process control systems, and Internet of Things (IoT) devices. Those safeguarding measures include security and privacy controls to protect the critical and essential operations and assets of organizations and the personal privacy of individuals. The ultimate objective is to make the information systems we depend on more penetration resistant to attacks; limit the damage from attacks when they occur; and make the systems resilient and survivable.

Revision 5 of this foundational NIST publication represents a one-year effort to develop the next generation security and privacy controls that will be needed to accomplish the above objectives. It includes changes to make the controls more consumable by diverse consumer groups including, for example, enterprises conducting mission and business operations; engineering organizations developing information systems and systems-of-systems; and industry partners building system components, products, and services. The major changes to the publication include:

• Making the security and privacy controls more outcome-based by changing the structure of the controls;
• Fully integrating the privacy controls into the security control catalog creating a consolidated and unified set of controls for information systems and organizations, while providing summary and mapping tables for privacy-related controls
• Separating the control selection process from the actual controls, thus allowing the controls to be used by different communities of interest including systems engineers, software developers, enterprise architects; and mission/business owners;
• Promoting integration with different risk management and cybersecurity approaches and lexicons, including the Cybersecurity Framework;
• Clarifying the relationship between security and privacy to improve the selection of controls necessary to address the full scope of security and privacy risks; and
• Incorporating new, state-of-the-practice controls based on threat intelligence and empirical attack data, including controls to strengthen cybersecurity and privacy governance and accountability.

In separating the process of control selection from the security and privacy controls, a significant amount of tailoring guidance and other informative material previously contained in Special Publication 800-53 was eliminated from the publication. That content will be moved to other publications such as NIST Special Publication 800-37 (Risk Management Framework) during the next update cycle for that document. The context will also remain active in Special Publication 800-53 Revision 4, until the subsequent publication becomes final. NIST continues to work with the privacy community to better integrate privacy and security controls, and is particularly interested in how best to achieve such integration in this publication.

Your feedback on this draft publication is important to us. We appreciate each contribution from our reviewers. The very insightful comments from both the public and private sectors, nationally and internationally, continue to help shape the final publication to ensure that it meets the needs and expectations of our customers. NIST anticipates producing the final draft of this publication in October 2017 and publishing the final version not later than December 29, 2017.

– RON ROSS

NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY

COMMON SECURITY AND PRIVACY FOUNDATIONS

In developing standards and guidelines required by FISMA, NIST consults with federal agencies, state, local, and tribal governments, and private sector organizations to improve information security and privacy; avoid unnecessary and costly duplication of effort; and ensure that its publications are complementary with the standards and guidelines used for the protection of national security systems. In addition to a comprehensive and transparent public review and vetting process, NIST is engaged in a collaborative partnership with the Office of Management and Budget, Office of the Director of National Intelligence, Department of Defense, Committee on National Security Systems, and the Federal Privacy Council—and has established a risk management framework applicable to both information security and privacy for the federal government. This common foundation for security and privacy provides the Civil, Defense, and Intelligence Communities of the federal government and their contractors, more cost-effective, flexible, and consistent ways to manage security and privacy risks to organizational operations and assets, individuals, other organizations, and the Nation. The unified framework also provides a strong basis for reciprocal acceptance of authorization decisions and facilitate information sharing and collaboration. NIST continues to work with public and private sector entities to establish mappings and relationships between the information security and privacy standards and guidelines developed by NIST and those developed by external organizations.

DEVELOPMENT OF INFORMATION SYSTEMS, COMPONENTS, AND SERVICES

With a renewed nation-wide emphasis on the use of trustworthy information systems and supply chain security, it is essential that organizations can express their security and privacy requirements with clarity and specificity in order to engage the information technology industry and obtain the systems, components, and services necessary for mission and business success. Accordingly, this publication provides controls in the System and Services Acquisition (SA) family that address requirements for the development of information systems, system components, and system services. To that end, many of the controls in the SA family are directed at developers of those systems, components, and services. It is important for organizations to recognize that the scope of the controls in that family includes information system, component, and service development and the developers associated with such development whether the development is conducted internally or externally by industry partners (manufacturers, vendors, integrators) through the contracting and acquisition processes. The affected controls in the control catalog include SA-8, SA-10, SA-11, SA-15, SA-16, SA-17, SA-20, and SA-21.

SECURITY AS A DESIGN PROBLEM

“Providing satisfactory security controls in a computer system is in itself a system design problem. A combination of hardware, software, communications, physical, personnel and administrative-procedural safeguards is required for comprehensive security. In particular, software safeguards alone are not sufficient.”

— The Ware Report

Defense Science Board Task Force on Computer Security, 1970.

INFORMATION SYSEMS — A BROAD-BASED PERSPECTIVE

As we push computers to “the edge” building an increasingly complex world of interconnected information systems and devices, security and privacy continue to dominate the national dialog. There is an urgent need to further strengthen the underlying information systems, component products, and services that we depend on in every sector of the critical infrastructure—ensuring those systems, components, and services are sufficiently trustworthy and provide the necessary resilience to support the economic and national security interests of the United States. NIST Special Publication 800-53 (Revision 5) responds to this need by embarking on a proactive and systemic approach to develop and make available to a broad base of public and private sector organizations, a comprehensive set of security and privacy safeguarding measures for all types of computing platforms, including general purpose computing systems; cyber-physical systems; cloud and mobile systems; industrial and process control systems; and Internet of Things (IoT) devices. Those safeguarding measures include both security and privacy controls to protect the critical and essential operations and assets of organizations and personal privacy of individuals. The ultimate objective is to make the information systems we depend on more penetration resistant to attacks; limit the damage from attacks when they occur; and make the systems resilient and survivable.

CHAPTER ONE: INTRODUCTION

THE NEED TO PROTECT INFORMATION, SYSTEMS, ORGANIZATIONS, AND INDIVIDUALS

Modern information systems (An information system is a discrete set of information resources organized for the collection, processing, maintenance, use sharing, dissemination, or disposition of information.) can include a wide variety of computing platforms, including, for example, industrial and process control systems; general purpose computing systems; cyber-physical systems; weapons systems; super computers;
communications systems; environmental control systems; embedded devices and sensors; and small form factor devices such as smart phones and tablets. The commonality in these computing platforms is that they contain computers with complex software and firmware and provide a capability that supports the essential missions and business functions of organizations.

Security controls are the safeguards or countermeasures prescribed for an information system or an organization to protect the confidentiality, integrity, and availability of the system and its information. Privacy controls are the administrative, technical, and physical safeguards employed within an agency to ensure compliance with applicable privacy requirements and to manage privacy risks. Security and privacy controls are selected and implemented to satisfy a set of defined security and privacy requirements and to manage risk. Security and privacy requirements are typically derived from applicable laws, Executive Orders, directives, policies, and regulations. The selection and effective implementation of security and privacy controls are important tasks that can have significant implications on the operations and assets of organizations as well as the welfare of individuals and the Nation. Organizational operations include mission, functions, image, and reputation.

There are several key questions that should be answered by organizations when addressing their security and privacy concerns:
• What security and privacy controls are needed to satisfy the organization’s security and privacy requirements and to adequately manage risk?
• Have the security and privacy controls been implemented or is there an implementation plan in place?
• What is the desired or required level of assurance (i.e., confidence) that the selected security and privacy controls, as implemented, are effective in their application?

Security and privacy control effectiveness addresses the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the designated security and privacy requirements for the system.

The answers to these questions are not given in isolation, but rather in the context of an effective risk management process for the organization that identifies, assesses, responds to, and monitors on an ongoing basis, security and privacy risks arising from its information and systems. The security and privacy controls in this publication are recommended for use by organizations to satisfy their information security and privacy requirements. The controls are employed as part of a well-defined and effective risk management process that supports organizational information security and privacy programs. In turn, organizational information security and privacy programs support the missions and business functions of the organization.

It is of paramount importance that responsible officials understand the security and privacy risks and other factors that could adversely affect organizational operations and assets, individuals, other organizations, and the Nation.5 These officials must also understand the current status of organizational security and privacy programs and the security and privacy controls planned or in place to protect information, information systems, and organizations in order to make informed judgments and investments that respond to identified risks in an acceptable manner. The ultimate objective is to manage the risks through the selection and implementation of security and privacy controls.

1.1 PURPOSE AND APPLICABILITY

This publication establishes controls for federal information systems6 and organizations. The use of these controls is mandatory, in accordance with the provisions of the Federal Information Security Modernization Act7 (FISMA), which require the development and maintenance of minimum controls to protect federal information and information systems. The controls can be implemented within any organization or information system that processes, stores, or transmits information. This publication is intended to help organizations manage risk and to satisfy the security and privacy requirements in FISMA, the Privacy Act of 1974, OMB policies (e.g., OMB Circular A-130), and designated Federal Information Processing Standards, among others, by:
• Providing a comprehensive and flexible catalog of security and privacy controls to meet current protection needs and the demands of future needs based on changing threats, requirements, and technologies;
• Creating a foundation for the development of assessment methods and procedures for determining the effectiveness of the controls; and
• Improving communication among organizations by providing a common lexicon that supports discussion of security, privacy, and risk management concepts.

While the controls established in this publication are for federal information systems and organizations, state, local, and tribal governments, as well as private sector organizations are encouraged to consider using these guidelines, as appropriate.

Finally, the controls in the catalog are independent of the specific process employed to select those controls. Such selection processes can be part of an organization-wide risk management process, a life cycle-based systems engineering process, or a risk management or cybersecurity framework.8 The control selection criteria can be guided and informed by many factors, for example, stakeholder protection needs and concerns; mission and business needs; standards and best practices; and requirements to comply with laws, Executive Orders, directives, policies, and regulations. The comprehensive nature of the security and privacy controls coupled with a flexible, risk-based control selection process, can help organizations comply with applicable security and privacy requirements and achieve adequate security for their information systems.

5 This includes risk to critical infrastructure and key resources described in Homeland Security Presidential Directive 7.

6 A federal information system is an information system used or operated by an agency, by a contractor of an agency, or by another organization on behalf of an agency.

7 Information systems that have been designated as national security systems, as defined in 44 U.S.C., Section 3542, are not subject to the requirements in FISMA, however, the controls established in this publication may be selected for national security systems as otherwise required (e.g., the Privacy Act of 1974) or with the approval of federal officials exercising policy authority over such systems. CNSS Instruction 1253 provides guidance for national security systems.

8 OMB Circular A-130 requires federal agencies to use the NIST Risk Management Framework for the selection of controls for federal information systems.

1.1            TARGET AUDIENCE

This publication is intended to serve a diverse audience including:

• Individuals with system, information security, privacy, or risk management and oversight responsibilities including, for example, authorizing officials, Chief Information Officers, Senior Agency Information Security Officers, and Senior Agency Officials for Privacy;
• Individuals with system development responsibilities including, for example, mission or business owners, program managers, systems engineers, systems security engineers, privacy engineers, software developers, systems integrators, and acquisition or procurement officials;
• Individuals with security and privacy implementation and operations responsibilities including, for example, mission or business owners, system owners, information owners or stewards, system administrators, system security or privacy officers;
• Individuals with security and privacy assessment and monitoring responsibilities including, for example, auditors, Inspectors General, system evaluators, control assessors, independent verifiers and validators, and analysts; and
• Commercial entities including industry partners, producing component products and systems, creating security and privacy technologies, or providing services or capabilities that support information security or

 

1.2            ORGANIZATIONAL RESPONSIBILITIES

Achieving adequate security and privacy throughout an organization is a complex, multifaceted undertaking that requires:

• Well-defined and clearly articulated security and privacy requirements for systems and organizations;
• Rigorous security and privacy planning and system life cycle management;
• The use of trustworthy information system components based on state-of-the-practice hardware, firmware, and software development processes;
• The application of system security and privacy engineering principles and practices to effectively integrate system components into information systems;
• The employment of security and privacy practices that are well documented and integrated into and supportive of the institutional and operational processes of organizations; and
• Continuous monitoring of information systems and organizations to determine the ongoing effectiveness of security and privacy controls, changes in information systems and environments of operation, and the state of security and privacy organization-wide.9

Organizations must realistically assess risks to organizational operations and assets, individuals, other organizations, and the Nation that arise from the execution of their missions and business functions and by placing information systems into operation or continuing operations. Realistic assessments of risk require a thorough understanding of the susceptibility to threats based on the vulnerabilities within information systems and organizations and the likelihood and potential adverse impacts of successful exploitations of such vulnerabilities by those threats.10 These risk assessments also require an understanding of privacy risks.11 To address these concerns, security and privacy requirements must be satisfied with the full knowledge and understanding of the risk management strategy of the organization considering the cost, schedule, and performance issues associated with the design, development, acquisition, deployment, operation, and sustainment of organizational information systems.

9 NIST Special Publication 800-137 provides guidance on continuous monitoring of systems and organizations.

10 NIST Special Publication 800-30 provides guidance on the risk assessment process.

The catalog of security and privacy controls can be effectively used to protect organizations, individuals, and information systems from traditional and advanced persistent threats in varied operational, environmental, and technical scenarios. The controls can also be used to demonstrate compliance with a variety of governmental, organizational, or institutional security and privacy requirements. Organizations have the responsibility to select the appropriate security and privacy controls, to implement the controls correctly, and to demonstrate the effectiveness of the controls in satisfying security and privacy requirements.12

Organizational risk assessments can inform the security and privacy control selection process. The selection process results in an agreed-upon set of security and privacy controls addressing specific mission or business needs consistent with organizational risk tolerance.13 The process preserves, to the greatest extent possible, the agility and flexibility that organizations need to address an increasingly sophisticated and hostile threat space, mission and business requirements, rapidly changing technologies, and many of environments of operation. Security and privacy controls can also be used in developing overlays or for unique or specialized missions or business applications, information systems, operational environments, technologies, and/or communities of interest.14

1.3            RELATIONSHIP TO OTHER PUBLICATIONS

This publication establishes a set of controls with the breadth and depth to satisfy a diverse set of requirements, including security and privacy requirements,15 that have been levied on information systems and organizations—and that are consistent with and complementary to other established national and international security and privacy standards. To develop a broadly applicable and technically sound set of controls for information systems and organizations, many sources were considered during the development of this publication. These sources included requirements and controls from the defense, financial, healthcare, intelligence, manufacturing, industrial control, and audit communities as well as national and international standards organizations. The security and privacy controls in this publication have been mapped to international security and privacy standards to help ensure maximum usability and applicability. In addition, the controls in this publication have been mapped to the requirements for federal information systems included in OMB Circular A-130, Managing Information as a Strategic Resource.16

11 NIST Internal Report 8062 introduces privacy risk concepts.

12 NIST Special Publication 800-53A provides guidance on assessing the effectiveness of controls.

13 Authorizing officials or their designated representatives, by accepting the security and privacy plans, agree to the set of security and privacy controls proposed to meet the security and privacy requirements for organizations and systems.

14 Appendix G provides guidance for tailoring security and privacy control baselines and for developing overlays to support the specific protection needs and requirements of stakeholders and their organizations.

15 Security and privacy requirements are those requirements levied on a system or organization that are derived from applicable laws, Executive Orders, directives, regulations, policies, standards, and mission/business needs to ensure the confidentiality, integrity, and availability of information processed, stored, or transmitted and individual privacy.

16 OMB Circular A-130 establishes general policy for the planning, budgeting, governance, acquisition, and management of federal information, personnel, equipment, funds, IT resources and supporting infrastructure and services.

1.4            REVISIONS AND EXTENSIONS

The security and privacy controls described in this publication represent the state-of-the-practice protection measures for individuals, information systems, and organizations. The controls are reviewed and revised periodically to reflect the experience gained from using the controls; new or revised laws, Executive Orders, directives, regulations, policies, and standards; changing security and privacy requirements; emerging threats, vulnerabilities, attack and information processing methods; and the availability of new technologies. The security and privacy controls in the control catalog are also expected to change over time as controls are withdrawn, revised, and added. In addition to the need for change, the need for stability is addressed by requiring that proposed modifications to security and privacy controls go through a rigorous and transparent public review process to obtain public and private sector feedback and to build a consensus for such change. This provides a stable, flexible, and technically sound set of security and privacy controls for the organizations that use the control catalog.

1.5            PUBLICATION ORGANIZATION

The remainder of this special publication is organized as follows:

• Chapter Two describes the fundamental concepts associated with security and privacy controls including the relationship between requirements and controls; the basic structure of controls and how the controls are organized in the consolidated catalog; the different types of controls; the grouping of controls into baselines; the use of common controls and inheritance of security and privacy capabilities; and assurance and
• Chapter Three provides a consolidated catalog of security and privacy controls and control enhancements17 including supplemental guidance to explain the purpose and meaning of the controls and to provide useful information regarding control implementation and assessment; a list of related controls to show useful relationships dependencies among controls; and a list of references to supporting publications that may be helpful to
• Supporting appendices provide additional information on the use of security and privacy controls including: general references;18 definitions and terms; acronyms; exemplar control baselines for organizations and information systems; summary tables for security and privacy controls by families; summary and mapping tables for privacy-related controls; tailoring guidance for controls and baselines; keywords; and control mappings to international standards.

17 The security and privacy controls in Special Publication 800-53 are available online and can be obtained in various formats from the NIST web site.

18 Unless otherwise stated, all references to NIST publications in this document are to the most recent version of those publications.

CHAPTER TWO

THE FUNDAMENTALS

STRUCTURE, TYPE, AND ORGANIZATION OF SECURITY AND PRIVACY CONTROLS

This chapter presents the fundamental concepts associated with security and privacy controls including: the relationship between requirements and controls; the structure of controls and how the controls are organized in the consolidated control catalog; the different types of controls for information systems and organizations; the purpose of control baselines and how tailoring is used to customize controls and baselines; and the importance of control assurance for both security and privacy and its effect on achieving trustworthy systems.

2.1     REQUIREMENTS AND CONTROLS

Before embarking on the process of selecting security and privacy controls, it is important to understand the relationship between controls and requirements.19 A requirement is a statement that translates or expresses a specific need including associated constraints and conditions.20 A requirement levied on an information system or an organization can be derived from different sources, including for example, laws, Executive Orders, directives, policies, regulations, and mission/business needs. Requirements address the capability the information system is designed to provide, for example, processing payroll transactions, simulating weather patterns, controlling industrial processes, or performing genome sequencing for advanced medical research.

Security and privacy requirements are a subset of the requirements that can be levied on an information system or organization. Security requirements ensure the confidentiality, integrity, and availability of information being processed, stored, or transmitted by the information system. Privacy requirements advance individual privacy associated with an organizations’s creation, collection, use, processing, storage, maintenance, dissemination, disclosure, or disposal of personally identifiable information. Such requirements can be used in a variety of contexts from policy- and oversight-related activities to life cycle-related activities that involve information systems development and engineering disciplines.

Security and privacy controls for information systems and organizations help satisfy security and privacy requirements. Controls can be used in a variety of contexts and can serve many purposes. When used in the security and privacy context, controls21 are designed to address the protection needs of organizations, information systems, and individuals. Such needs are specified by a set of security and privacy requirements. Security and privacy controls help an organization satisfy security and privacy requirements and defined security and privacy policies. It is important to understand the complementary nature of requirements and controls and how they work together to protect organizations, information systems, and individuals.

19 There is no single, prescribed, or mandatory relationship between requirements and controls. The relationship is completely dependent on the organization’s use of controls, which may be dynamic and evolving.

20 See ISO/IEC/IEEE 29148.

21 In accordance with OMB Circular A-130, security controls are the safeguards or countermeasures prescribed for an information system or an organization to protect the confidentiality, integrity, and availability of the system and its information. Privacy controls are the administrative, technical, and physical safeguards employed within an agency to ensure compliance with applicable privacy requirements and manage privacy risks.

Finally, information systems represent a complex machine-human environment, and as such, the functions of the systems can be realized by technological and human elements. Accordingly, the mechanisms implementing security and privacy controls in information systems can include both technical and non-technical (i.e., administrative) controls. These controls are represented in the broad array of families in the consolidated control catalog in Chapter Three. In addition, security and privacy controls can be employed in a variety of contexts supported by different types of risk- based decision processes. For example, the controls may be used as part of the Risk Management Framework (See NIST Special Publication 800-37.) or a comprehensive, life cycle-based systems engineering process. (See NIST Special Publication 800-160.) Controls can be viewed as generalized statements that express the security and privacy functions or capabilities necessary to ensure compliance with applicable requirements and to manage risk.

Irrespective of how organizations define the terms requirement and control, it is important for organizations to clearly establish the relationship so that expectations for security and privacy can be achieved given stakeholder protection needs and concerns for individual privacy; assumptions; constraints placed upon organizations; trade-space decisions; cost, schedule, and performance considerations; and risk management decisions.

2.2     CONTROL STRUCTURE AND ORGANIZATION

Security and privacy controls described in this publication have a well-defined organization and structure. For ease of use in the security and privacy control selection and specification process, controls are organized into twenty families. Of the twenty control families in NIST Special Publication 800-53, seventeen families are aligned with the security requirements in FIPS Publication 200. In addition to those families, three other families address privacy and program management considerations. Each family contains security and privacy controls related to the specific topic of the family. A two-character identifier uniquely identifies each control family, for example, PS (Personnel Security). Security and privacy controls may involve aspects of policy, oversight, supervision, manual processes, and automated mechanisms that are implemented by systems or actions by individuals. Table 1 lists the security and privacy control families and their associated family identifiers.

TABLE 1: SECURITY AND PRIVACY CONTROL FAMILIES

 ID

	FAMILY	ID	FAMILY
AC	Access Control	MP	Media Protection
AT	Awareness and Training	PA	Privacy Authorization
AU	Audit and Accountability	PE	Physical and Environmental Protection
CA	Assessment, Authorization, and Monitoring	PL	Planning
CM	Configuration Management	PM	Program Management
CP	Contingency Planning	PS	Personnel Security
IA	Identification and Authentication	RA	Risk Assessment
IP	Individual Participation	SA	System and Services Acquisition
IR	Incident Response	SC	System and Communications Protection
MA	Maintenance	SI	System and Information Integrity

Security and privacy controls have the following structure: a base control section; a supplemental guidance section; a control enhancements section; a related controls section; and a references section. The control section prescribes a security or privacy capability to be implemented. Such capability is achieved by the activities or actions, automated or nonautomated, carried out by information systems, organizations, and individuals. Organizations designate the responsibility for control design, implementation, management, and monitoring. Organizations have flexibility to implement the controls selected in whatever manner that satisfies the organizational mission or business needs, consistent with law, regulation, and policy.

For some security and privacy controls in the control catalog, a degree of flexibility is provided by allowing organizations to define specific values for designated parameters associated with the controls. This flexibility is achieved as part of a tailoring process using assignment and selection statements embedded within the controls and enclosed by brackets. These parameter statements give organizations the capability to customize controls based on stakeholder security and privacy requirements. The requirements can evolve from a variety of sources including, for example, mission and business needs, laws, Executive Orders, directives, policies, regulations, standards, guidelines, or industry best practices. Risk assessments and organizational risk tolerance are also important factors in defining the values for control parameters. In general, organization-defined parameters used in assignment and selection statements in the base security and privacy controls apply also to the control enhancements associated with those controls. While the parameter statements provide flexibility, organizations are responsible for choosing and assigning the parameters for each selected control. Once specified, the values for the assignment and selection statements become a permanent part of the control. The implementation of the control is assessed against the completed control statement. In contrast to assignment statements, selection statements narrow the range of potential input values by providing a specific list of items from which organizations must choose.

The supplemental guidance section provides non-prescriptive, additional information for a security or privacy control. Organizations can apply the guidance as needed, when defining, developing, implementing, or assessing controls. The supplemental guidance provides important considerations for implementing controls in the context of mission or business requirements, operational environments, or assessments of risk. Supplemental guidance can also explain the purpose or meaning of controls and often includes examples. Control enhancements may also contain supplemental guidance. This occurs when the guidance is not applicable to the entire control but instead is focused on the control enhancement.

The related controls section provides a list of security or privacy controls that directly impact or support the implementation of a control or control enhancement. Security and privacy control enhancements are related to their base control. Related controls that are referenced in the base control are not repeated in the control enhancements. There may, however, be related controls identified for control enhancements that are not referenced in the base control (i.e., the related control is only associated with that specific control enhancement).

The control enhancements section provides statements of security and privacy capability to add functionality or specificity to a base control or to increase the strength of a base control. In both cases, the control enhancements are used in information systems and environments of operation that require greater protection than provided by the base control due to the potential adverse organizational or individual impacts or when organizations require additions to the base control functionality or assurance based on organizational assessments of risk. Control enhancements are numbered sequentially within each control so that the enhancements can be easily identified when selected to supplement the base control.

Each control enhancement has a short subtitle to indicate the intended function or capability provided by the enhancement. In the AU-4 example, if the control enhancement is selected, the control designation becomes AU-4(1). The numerical designation of a control enhancement is used only to identify that enhancement within the control. The designation is not indicative of the strength of the control enhancement, level or degree of protection, or any hierarchical relationship among the enhancements. Control enhancements are not intended to be selected independently.

That is, if a control enhancement is selected, then the corresponding base control must also be selected and implemented. This intent is reflected in the control baselines in Appendix D.

The references section includes a list of applicable standards, guidelines and other useful references that are relevant to a control or control enhancement.26 The references section also contains hyperlinks to specific publications for obtaining additional information for control development, implementation, assessment, and monitoring.

The following example illustrates the structure of a typical control:

AU-4     AUDIT STORAGE CAPACITY

Control (Base Control): Allocate audit record storage capacity to accommodate [Assignment: organization-defined (Control Parameter) audit record retention requirements].

Supplemental Guidance: Organizations 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.

Related Controls: AU-2, AU-5, AU-6, AU-7, AU-9, AU-11, AU-12, AU-14, SI-4.

Control Enhancements:

• AUDIT STORAGE CAPACITY | TRANSFER TO ALTERNATE STORAGE

Control Enhancement: Off-load audit records [Assignment: organization-defined frequency] onto a different system or media than the system being audited.

Enhancement

Supplemental Guidance: Off-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary system to a secondary or alternate system. It is a common process in 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.

Related Controls: None.

References: None.

2.3     TYPES OF CONTROLS

There are three distinct types of security and privacy controls in Chapter Three. These include: common controls, system-specific controls, and hybrid controls. The control types define the scope of applicability for the control; the shared nature or inheritability of the control; and the responsibility for control development, implementation, assessment, and authorization. Each type of control has a specific focus and objective which helps organizations implement the controls effectively and obtain the expected protection benefits. Deploying certain types of controls may also achieve cost benefits by leveraging security and privacy capabilities across many information systems and environments of operation.

26 Publications listed in the references section refer to the most recent versions of those publications. References are provided to assist organizations in applying the security and privacy controls and are not intended to be inclusive or complete.

Common controls are security or privacy controls whose implementation results in a capability that is inheritable by multiple information systems or programs. Controls are deemed inheritable when the information system or program receives protection from the implemented control but the control is developed, implemented, assessed, authorized, and monitored by entities other than those responsible for the system or program. The security and privacy capabilities provided by common controls can be inherited from many sources including, for example, mission/business lines, organizations, enclaves, sites, environments of operation, or other information systems or programs. Many of the controls needed to protect information systems including, for example, physical and environmental protection controls, personal security controls, and many privacy controls, are candidates for common control status. Common controls can include technology- based controls, for example, boundary protection controls, access controls, identification and authentication controls, and controls that are part of cross-domain solutions. The development, implementation, assessment, authorization, and monitoring cost of common controls can be amortized across multiple information systems, programs, and organizational elements.

Organizations assign responsibility for common controls to appropriate officials. These officials, designated as common control providers, develop, implement, assess, authorize, and monitor the organization-defined common controls.27 The identification and selection of common controls is most effectively accomplished as an organization-wide exercise with the active involvement of executive-level personnel including, for example, mission and business owners, risk executives, authorizing officials, Chief Information Officers, Senior Agency Information Security Officers, Senior Agency Officials for Privacy, information owners or information stewards, system owners, and other key stakeholders. The organization-wide common control selection process considers the security and privacy controls necessary to adequately respond to the risks arising from the use of the systems or program inheriting the controls.28 Common controls that affect multiple, but not all systems and programs within the organization, could benefit from taking a similar approach.

27 Organizational officials at the senior leadership level assign responsibility for the development, implementation, assessment, authorization, and monitoring of common controls to appropriate entities. Such entities can be internal or external to the organization.

28 Each potential common control is reviewed for applicability to each organizational system or program.

Common controls are documented in organization-wide security and privacy program plans. The controls may also be documented in the security and privacy plans for information systems that inherit those controls or in situations where the common controls are implemented within specific systems.29 Organizations can describe common controls in a single document or in multiple documents with references to other documents, as appropriate. If program plans contain multiple documents, organizations specify in each document the officials responsible for development, implementation, assessment, authorization, and monitoring of the respective common controls.

When common controls are included in a separate security or privacy plan for an information system, the security or privacy program plans indicate which separate security or privacy plans contain a description of the common controls.

Security and privacy controls not designated as common controls are considered system-specific or hybrid controls. System-specific controls are the primary responsibility of information system owners and the authorizing officials for those systems. Organizations can designate a security or privacy control as hybrid if one part of the control is common and another part of the control is system-specific. For example, an organization may implement the Contingency Planning control using a predefined template for the master contingency plan for all organizational information systems with individual information system owners tailoring the plan for system-specific uses, where appropriate. The division of hybrid controls into common and system-specific parts may vary by organization, depending on the types of information technologies employed, assignment of responsibilities, and the methods used by the organization to manage its controls.

The determination as to whether a security or privacy control is a common, hybrid, or system- specific control is context-dependent. Security and privacy controls cannot be determined to be common, hybrid, or system-specific simply based on reviewing the language of the control. For example, a control may be designated as a system-specific control for one information system, and at the same time be designated as a common control for another information system (i.e., inheriting the control from the first system). One method to determine if a system-specific control may also be designated as a common control for other information systems is to consider who or what depends on the functionality of that control. If a certain part of an information system or solution external to the system depends on the control, then that control may be a candidate for common control status.

29 Organizations ensure that any security or privacy capabilities provided by common controls (i.e., security or privacy capabilities inheritable by other organizational entities) are described in sufficient detail to facilitate understanding of the control implementation by inheriting entities.

Partitioning security and privacy controls into common, hybrid, and system-specific controls can result in significant savings to organizations in implementation and assessment costs as well as a more consistent application of controls organization-wide. While the partitioning of controls into common, hybrid, and system-specific controls is straightforward and intuitive conceptually, the actual application takes planning and coordination. It is necessary to first determine what security and privacy capabilities are needed before organizations assign specific responsibility for how the security and privacy controls are implemented, operated, and maintained.

2.4     SECURITY AND PRIVACY CONTROL RELATIONSHIP

While security and privacy requirements are authoritatively sourced to different laws, regulations, or policies, there is also a strong relationship between the security and privacy domains. One of the Fair Information Practice Principles (FIPPs) is security—a key principle to help ensure the protection of personally identifiable information and individual privacy. Therefore, controls used to manage the confidentiality, integrity, and availability of information and information systems when selected and implemented for information systems that create, collect, use, process, store, maintain, disseminate, disclose, or dispose of personally identifiable information, address security and privacy concerns. Nonetheless, individual privacy cannot be achieved solely through securing personally identifiable information. Consequently, this publication contains controls designed to meet privacy requirements and to manage the privacy risks associated with an organizations’s creation, collection, use, processing, storage, maintenance, dissemination, disclosure, or disposal of personally identifiable information separate from security concerns. Figure 1 illustrates the totality of security and privacy concerns, reflecting common areas of concern and those areas of concern that are unique.

The security and privacy controls in this publication are incorporated into a consolidated control catalog in Chapter Three. Appendix F provides a summary of the privacy controls and control enhancements predominantly for addressing unique privacy concerns. Appendix F is intended to help organizations identify the controls and control enhancements for which privacy programs have primary responsibility. For some controls and enhancements, the selection authority and oversight is shared with the security programs. These controls and controls enhancements are designated as joint controls—that is, the controls and control enhancements can address security and privacy requirements. In those situations, organizations may opt to do a joint implementation or alternatively, the privacy program and security program may implement the respective privacy and security aspects of the control or enhancement separately.

For example, in joint control AT-2, the privacy program may develop and conduct separate privacy-focused training or it could choose to develop coordinated privacy and security training with the security program. For controls and control enhancements that are not considered joint, privacy programs have the sole authority to select and oversee the controls and enhancements. In addition to Appendix F, the security and privacy tables in Appendix E indicate which privacy controls are considered joint controls. However, organizations have the flexibility to identify other controls as privacy or joint controls, as appropriate.

Throughout the control catalog, there may be references to privacy controls or considerations in various security controls because in some contexts, these security controls could provide privacy protections or could create privacy risks depending on the implementation. Although security programs may be responsible for these controls, organizations may have privacy programs and security progams collaborate on how to manage the nexus with privacy. To maintain awareness and support collaboration between privacy and security programs, organizations may use the keywords in Appendix H to locate privacy references in security controls that are not designated as joint controls.

2.5     CONTROL BASELINES

A significant challenge for organizations is selecting a set of security and privacy controls which, if correctly implemented and determined to be effective, adequately responds to mission and business risk while complying with security and privacy requirements defined by applicable laws, Executive Orders, regulations, policies, and directives. There is no single set of controls that addresses all security and privacy concerns in every situation. However, choosing the most appropriate controls for a specific situation or system to adequately respond to risk requires a fundamental understanding of the organization’s missions and business priorities; the mission and business functions the systems will support; and the environments where the systems will operate. It also requires close collaboration with key organizational stakeholders. With that understanding, organizations can demonstrate how to effectively and cost-effectively assure the confidentiality, integrity, and availability of organizational information and systems as well as the privacy of individuals in the context of supporting the organization’s mission and business functions.

To assist organizations in selecting the set of controls for their systems that is commensurate with risk, the concept of a control baseline is introduced. A control baseline is a collection of controls from Chapter Three specifically assembled or brought together to address the protection needs of a group, organization, or community of interest.30 The control baseline provides a generalized set of controls that represents an initial starting point for the subsequent tailoring activities that can be applied to the baseline to produce a more targeted or customized security and privacy solution for the entity it is intended to serve. The selection of controls for control baselines can be based on a variety of factors including, for example, sector-specific requirements, threat information, organizational assumptions and constraints, mission or business requirements, types of systems, operating environments, specific technologies, or laws, Executive Orders, regulations, policies, directives, standards, or industry best practices. The control baselines are tailored or customized for each organization, sector, or individual company based on specific operating conditions and other factors. Tailoring activities are described in greater detail in Appendix G.

30 The U.S. Government, in accordance with the requirements set forth in FISMA, OMB Circular A-130, and Federal Information Processing Standards, has established federally-mandated security control baselines. The baselines for non- national security systems are listed in Appendix D. These control baselines can be used to address the confidentiality, integrity and availability of personally identifiable information. Criteria that support federal agency selection of privacy controls are listed in Appendix F.

2.6     ASSURANCE AND TRUSTWORTHINESS

The trustworthiness of systems, system components, and system services is an important part of the risk management strategies developed by organizations. Whether systems are deployed to support the national air traffic control system, a major financial institution, a nuclear power plant, or the military services and warfighters, the systems must be reliable, trustworthy, and resilient in the face of increasingly sophisticated and pervasive threats—and also support the privacy of individuals. To understand how to achieve trustworthy systems and the role assurance plays, it is important to first define the term trustworthiness. Trustworthiness, in this context, means simply worthy of being trusted to fulfill whatever critical requirements may be needed for a particular component, subsystem, system, network, application, mission, business function, enterprise, or other entity.31 Trustworthiness requirements can include, for example, attributes of reliability, dependability, performance, resilience, safety, security, privacy, and survivability under a range of potential adversity in the form of disruptions, hazards, threats, and privacy risks. Effective measures of trustworthiness are meaningful only to the extent the requirements are sufficiently complete and well-defined, and can be accurately assessed.32

Two fundamental components affecting the trustworthiness of systems are functionality and assurance. Functionality is defined in terms of the security and privacy features, functions, mechanisms, services, procedures, and architectures implemented within organizational systems and programs and the environments in which those systems and programs operate. Assurance is the measure of confidence that the system functionality is implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security and privacy requirements for the system—thus possessing the capability to accurately mediate and enforce established security and privacy policies. Security and privacy controls address both functionality and assurance. Some controls focus primarily on functionality. Other controls focus primarily on assurance. Finally, certain controls can support functionality and assurance. Assurance-related controls are identified in the security and privacy control summary tables in Appendix E.

31 P. Neumann, Principled Assuredly Trustworthy Composable Architectures, CDRL A001 Final Report, SRI International, Menlo Park, CA, December 28, 2004.

32 NIST Special Publication 800-160 provides guidance on systems security engineering and the application of security design principles to achieve trustworthy systems.

CHAPTER THREE: THE CONTROLS

SECURITY AND PRIVACY CONTROLS, ENHANCEMENTS, AND SUPPLEMENTAL GUIDANCE

This catalog of security and privacy controls provides a range of protection measures for systems, organizations, and individuals. A catalog of security and privacy controls is also available online in different formats. The controls have been designed to facilitate compliance with applicable laws, Executive Orders, directives, policies, regulations, and standards. The security and privacy controls in the catalog with few exceptions, have been designed to be policy, technology, and sector neutral. This means that the controls focus on the fundamental measures necessary to protect information and the privacy of individuals during processing, while in storage, and during transmission. It should also be noted that while the security and privacy controls are largely policy, technology, and sector neutral, that does not imply that the controls are policy, technology, and sector unaware. Understanding policies, technologies, and sectors is necessary so that the controls are meaningful and relevant when implemented. Employing a policy, technology, and sector neutral control catalog has the following benefits:

• It encourages organizations to focus on the security and privacy functions and capabilities required for mission and business success and the protection of information and the privacy of individuals, irrespective of the technologies that are employed in their systems;
• It encourages organizations to analyze each security and privacy control for its applicability to specific technologies, environments of operation, missions and business functions, and communities of interest; and
• It encourages organizations to specify security and privacy policies as part of the tailoring process for controls that have variable parameters.

In the few cases where specific technologies are referenced in controls, organizations are cautioned that the need to provide adequate security and privacy may well go beyond the requirements in a single control associated with a technology. Many of the needed protection measures are obtained from the other controls in the catalog allocated to the initial control baselines and the privacy selection criteria as the starting point for the development of security and privacy plans using the tailoring process. NIST Federal Information Processing Standards, Special Publications, and Interagency Reports provide guidance on security and privacy controls for specific technologies and sector-specific applications including, for example, smart grid, healthcare, cloud, mobile, industrial and process control systems, and Internet of Things (IoT) devices.

Security and privacy controls in the catalog are expected to change over time, as controls are withdrawn, revised, and added. To maintain stability in security and privacy plans, security and privacy controls will not be renumbered each time a control is withdrawn. Rather, notations of controls that have been withdrawn are maintained in the catalog for historical purposes. Controls may be withdrawn for a variety of reasons including, for example, the function or capability provided by the control has been incorporated into another control or is redundant to an existing control; or the control is deemed to be no longer necessary or effective.

New security and privacy controls will be developed on a regular basis using information from national-level threat and vulnerability databases; information on the latest tactics, techniques, procedures, and tools used by adversaries; and an improved understanding of how to mitigate the risks to the privacy of individuals arising from information processing. Proposed modifications to the security and privacy controls and control baselines will be carefully considered during each revision cycle, considering the need for stability of the control catalog and the need to respond to changing threats, vulnerabilities, technologies, attack methods, and processing methods. The objective is to raise the level of information security and privacy over time.

COMPLIANCE AND DUE DILIGENCE

Compliance necessitates organizations exercising due diligence regarding information security, privacy, and risk management. Security and privacy due diligence requires organizations to establish a risk management program that uses the inherent flexibility in NIST publications to select and implement security and privacy controls that meet their mission and business needs. Using risk management frameworks and processes is essential in developing, implementing, and maintaining the protection measures that are necessary to address stakeholder needs and the current threats to organizational operations and assets, individuals, other organizations, and the Nation. Employing effective risk-based processes, procedures, methods, and technologies helps to ensure that information systems and organizations have the necessary trustworthiness and resiliency to support essential missions and business functions, the U.S. critical infrastructure, and continuity of government.

AC-1 ACCESS CONTROL POLICY AND PROCEDURES
Control:
a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
1. An access control policy that:
(a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
(b) Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
2. Procedures to facilitate the implementation of the access control policy and the associated access controls;
b. Designate an [Assignment: organization-defined senior management official] to manage the access control policy and procedures;
c. Review and update the current access control:
1. Policy [Assignment: organization-defined frequency]; and
2. Procedures [Assignment: organization-defined frequency];
d. Ensure that the access control procedures implement the access control policy and controls; and
e. Develop, document, and implement remediation actions for violations of the access control policy.
Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the AC family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.
The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.
Related Controls: IA-1, PM-9, PM-25, PS-8, SI-12.
Control Enhancements: None.
References: NIST Special Publications 800-12, 800-30, 800-39, 800-100; NIST Interagency
Report 7874.

AC-2 ACCOUNT MANAGEMENT
Control:
a. Define and document the types of system accounts allowed for use within the system in support of organizational missions and business functions;

1. Assign account managers for system accounts;
2. Establish conditions for group and role membership;
3. Specify authorized users of the system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;
4. Require approvals by [Assignment: organization-defined personnel or roles] for requests to create system accounts;
5. Create, enable, modify, disable, and remove system accounts in accordance with [Assignment: organization-defined policy, procedures, and conditions];
6. Monitor the use of system accounts;
7. Notify account managers within [Assignment: organization-defined time-period for each situation]:
   1. When accounts are no longer required;
   2. When users are terminated or transferred; and
   3. When individual system usage or need-to-know changes for an individual;
8. Authorize access to the system based on:
   1. A valid access authorization;
   2. Intended system usage; and
   3. Other attributes as required by the organization or associated missions and business functions;
9. Review accounts for compliance with account management requirements [Assignment: organization-defined frequency];
10. Establish a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group; and
11. Align account management processes with personnel termination and transfer

Supplemental Guidance: System account types include, for example, individual, shared, group, system, guest, anonymous, emergency, developer/manufacturer/vendor, temporary, and service. The identification of authorized users of the system and the specification of access privileges reflects the requirements in other controls in the security plan. Users requiring administrative privileges on system accounts receive additional scrutiny by appropriate organizational personnel responsible for approving such accounts and privileged access, including, for example, system owner, mission/business owner, or chief information security officer. 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 and mission/business requirements. Failure to consider these factors could affect system availability.

Temporary and emergency accounts are 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 including, for example, local logon accounts used for special tasks 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,

when shared/group, emergency, or temporary accounts are no longer required; or when individuals are transferred or terminated. Some types of system accounts may require specialized training.

Related Controls: AC-3, AC-5, AC-6, AC-17, AC-18, AC-20, AC-24, AU-9, CM-5, IA-2, IA-8,

MA-3, MA-5, PE-2, PL-4, PS-2, PS-4, PS-5, PS-7, SC-7, SC-13, SC-37.

Control Enhancements:

• ACCOUNT MANAGEMENT | AUTOMATED SYSTEM ACCOUNT MANAGEMENT

Employ automated mechanisms to support the management of system accounts.

Supplemental Guidance: The 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 system to monitor account usage; and using telephonic notification to report atypical system account usage.

Related Controls: None.

• ACCOUNT MANAGEMENT | REMOVAL OF TEMPORARY AND EMERGENCY ACCOUNTS

Automatically [Selection: remove; disable] temporary and emergency accounts after [Assignment: organization-defined time-period for each type of account].

Supplemental Guidance: This control enhancement requires the removal or disabling of both temporary and emergency accounts automatically after a predefined time-period has elapsed, rather than at the convenience of the systems administrator. Automatic removal or disabling of accounts provides a more consistent implementation.

Related Controls: None.

• ACCOUNT MANAGEMENT | DISABLE ACCOUNTS

Automatically disable accounts when the accounts:

• Have expired;
• Are no longer associated to a user;
• Are in violation of organizational policy;
• Are no longer used by applications, services, or the system; and
• Have been inactive for [Assignment: organization-defined time-period].

Supplemental Guidance: None.

Related Controls: None.

• ACCOUNT MANAGEMENT | AUTOMATED AUDIT ACTIONS

Automatically audit account creation, modification, enabling, disabling, and removal actions, and notify [Assignment: organization-defined personnel or roles].

Supplemental Guidance: None.

Related Controls: AU-2, AU-12.

• ACCOUNT MANAGEMENT | INACTIVITY LOGOUT

Require that users log out when [Assignment: organization-defined time-period of expected inactivity or description of when to log out].

Supplemental Guidance: This control enhancement is behavior/policy-based and requires users to take physical action to log out when they are expecting inactivity longer than the defined period.

Related Controls: AC-11.

• ACCOUNT MANAGEMENT | DYNAMIC PRIVILEGE MANAGEMENT

Implement the following dynamic privilege management capabilities: [Assignment: organization- defined list of dynamic privilege management capabilities].

Supplemental Guidance: In contrast to conventional access control approaches which employ static system accounts and predefined user privileges, dynamic access control approaches rely on run time access control decisions facilitated by dynamic privilege management such as attribute based access control (ABAC). While user identities remain relatively constant over time, user privileges typically change more frequently based on ongoing mission or business requirements and operational needs of organizations. Dynamic privilege management can include, for example, 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 include those mechanisms that change user privileges based on dynamic rules as opposed to editing specific user profiles. Examples include automatic adjustments of user privileges if they are operating out of their normal work times, their job function or assignment changes, or if systems are under duress or in emergency situations. This control enhancement also includes the effects of privilege changes, for example, the changes to encryption keys used for communications.

Related Controls: AC-16.

• ACCOUNT MANAGEMENT | ROLE-BASED SCHEMES
  • Establish and administer privileged user accounts in accordance with a role-based access scheme that organizes allowed system access and privileges into roles;
  • Monitor privileged role assignments; and
  • Revoke access when privileged role assignments are no longer

Supplemental Guidance: Privileged 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.

Related Controls: None.

• ACCOUNT MANAGEMENT | DYNAMIC ACCOUNT MANAGEMENT

Create, activate, manage, and deactivate [Assignment: organization-defined system accounts] dynamically.

Supplemental Guidance: Approaches for dynamically creating, activating, managing, and deactivating system or service/application accounts rely on automatically provisioning the accounts at run time for entities that were previously unknown. Organizations plan for the dynamic creation, activation, management, and deactivation of these accounts by establishing trust relationships, business rules, and mechanisms with appropriate authorities to validate related authorizations and privileges.

Related Controls: AC-16.

• ACCOUNT MANAGEMENT | RESTRICTIONS ON USE OF SHARED AND GROUP ACCOUNTS

Only permit the use of shared and group accounts that meet [Assignment: organization-defined conditions for establishing shared and group accounts].

Supplemental Guidance: Before permitting the use of shared or group accounts, organizations consider the increased risk due to the lack of accountability with such accounts.

Related Controls: None.

• ACCOUNT MANAGEMENT | SHARED AND GROUP ACCOUNT CREDENTIAL CHANGE

Change shared and group account credentials when members leave the group.

Supplemental Guidance: This control enhancement is intended to ensure that former group members do not retain access to the shared/group account.

Related Controls: None.

• ACCOUNT MANAGEMENT | USAGE CONDITIONS

Enforce [Assignment: organization-defined circumstances and/or usage conditions] for [Assignment: organization-defined system accounts].

Supplemental Guidance: This control enhancement helps to enforce the principle of least privilege, increase user accountability, and enable more effective account monitoring. Such monitoring includes, for example, alerts generated if the account is used outside of specified parameters. Organizations can describe the specific conditions or circumstances under which system accounts can be used, for example, by restricting usage to certain days of the week, time of day, or specific durations of time.

Related Controls: None.

• ACCOUNT MANAGEMENT | ACCOUNT MONITORING FOR ATYPICAL USAGE
  • Monitor system accounts for [Assignment: organization-defined atypical usage]; and
  • Report atypical usage of system accounts to [Assignment: organization-defined personnel or roles].

Supplemental Guidance: Atypical usage includes, for example, accessing systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations. Account monitoring may inadvertently create privacy risks. Data collected to identify atypical usage may reveal previously unknown information about the behavior of individuals. Organizations assess and document these risks in their privacy impact assessment and make determinations that are in alignment with their privacy program plan.

Related Controls: AU-6, AU-7, CA-7, IR-8, SI-4.

• ACCOUNT MANAGEMENT | DISABLE ACCOUNTS FOR HIGH-RISK INDIVIDUALS

Disable accounts of users posing a significant risk within [Assignment: organization-defined time- period] of discovery of the risk.

Supplemental Guidance: Users posing a significant risk to organizations include individuals for whom reliable evidence or intelligence indicates either the intention to use authorized access to systems to cause harm or through whom adversaries will cause harm. Such harm includes the potential adverse impacts to organizational operations and assets, individuals, other organizations, or the Nation. Close coordination and cooperation among authorizing officials, system administrators, and human resource managers is essential for timely execution of this control enhancement.

Related Controls: AU-6, SI-4.

• ACCOUNT MANAGEMENT | PROHIBIT SPECIFIC ACCOUNT TYPES

Prohibit the creation and use of [Selection (one or more): shared; guest; anonymous; temporary; emergency] accounts for access to [Assignment: organization-defined information types].

Supplemental Guidance: NIST Special Publications 800-162, 800-178.

Related Controls: PS-4.

• ACCOUNT MANAGEMENT | ATTRIBUTE-BASED SCHEMES
  • Establish and administer privileged user accounts in accordance with an attribute-based access scheme that specifies allowed system access and privileges based on attributes;
  • Monitor privileged attribute-based assignments;
  • Monitor changes to attributes; and
  • Revoke access when privileged attribute-based assignments are no longer

Supplemental Guidance: Privileged 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.

Related Controls: None.

References: NIST Special Publications 800-162, 800-178.

AC-3      ACCESS ENFORCEMENT

Control: Enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies.

Supplemental Guidance: Access control policies control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. In addition to enforcing authorized access at the system level and recognizing that 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.

Related Controls: AC-2, AC-4, AC-5, AC-6, AC-16, AC-17, AC-18, AC-19, AC-20, AC-21, AC- 22, AC-24, AC-25, AU-9, CA-9, CM-5, CM-11, IA-2, IA-5, IA-6, IA-7, IA-11, MA-3, MA-4,

MA-5 MP-4, PM-25, PS-3, SC-2, SC-3, SC-4, SC-13, SC-28, SC-31, SC-34, SI-4.

Control Enhancements:

• ACCESS ENFORCEMENT | RESTRICTED ACCESS TO PRIVILEGED FUNCTIONS

[Withdrawn: Incorporated into AC-6].

• ACCESS ENFORCEMENT | DUAL AUTHORIZATION

Enforce dual authorization for [Assignment: organization-defined privileged commands and/or other organization-defined actions].

Supplemental Guidance: Dual authorization may also be known as two-person control. Dual authorization mechanisms require the approval of two authorized individuals to execute. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety.

Related Controls: CP-9, MP-6.

• ACCESS ENFORCEMENT | MANDATORY ACCESS CONTROL

Enforce [Assignment: organization-defined mandatory access control policy] over all subjects and objects where the policy:

• Is uniformly enforced across all subjects and objects within the boundary of the system;
• Specifies that a subject that has been granted access to information is constrained from doing any of the following;
  • Passing the information to unauthorized subjects or objects;
  • Granting its privileges to other subjects;
  • Changing one or more security attributes on subjects, objects, the system, or system components;
  • Choosing the security attributes and attribute values to be associated with newly created or modified objects; or
  • Changing the rules governing access control; and
• Specifies that [Assignment: organization-defined subjects] may explicitly be granted [Assignment: organization-defined privileges] such that they are not limited by any of the above

Supplemental Guidance: Mandatory access control is a type of nondiscretionary access control. 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. This prevents 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 system has control. Otherwise, the access control policy can be circumvented. This enforcement is provided by an implementation that meets the reference monitor concept as described in AC-25. The policy is bounded by the 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 a policy mandate that establishes a policy regarding access to controlled unclassified information or classified information and some users of the system are not authorized access to all such information resident in the system. This control can operate in conjunction with AC-3(4). A subject 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.

Related Controls: SC-7.

• ACCESS ENFORCEMENT | DISCRETIONARY ACCESS CONTROL

Enforce [Assignment: organization-defined discretionary access control policy] 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:

• Pass the information to any other subjects or objects;
• Grant its privileges to other subjects;
• Change security attributes on subjects, objects, the system, or the system’s components;
• Choose the security attributes to be associated with newly created or revised objects; or
• Change the rules governing access

Supplemental Guidance: When discretionary access control policies are implemented, subjects are not constrained regarding 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. Therefore, 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 system boundary.

Once the information is passed outside of the control of the system, additional means may be required to help 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.

Related Controls: None.

• ACCESS ENFORCEMENT | SECURITY-RELEVANT INFORMATION

Prevent access to [Assignment: organization-defined security-relevant information] except during secure, non-operable system states.

Supplemental Guidance: Security-relevant information is any information within 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 systems are not performing mission/business-related processing, for example, the system is off-line for maintenance, troubleshooting, boot-up, or shut down.

Related Controls: CM-6, SC-39.

• ACCESS ENFORCEMENT | PROTECTION OF USER AND SYSTEM INFORMATION

[Withdrawn: Incorporated into MP-4 and SC-28].

• ACCESS ENFORCEMENT | ROLE-BASED ACCESS CONTROL

Enforce a role-based access control policy over defined subjects and objects and control access based upon [Assignment: organization-defined roles and users authorized to assume such roles].

Supplemental Guidance: Role-based access control (RBAC) is an access control policy that restricts 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 the 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.

Related Controls: PE-2.

• ACCESS ENFORCEMENT | REVOCATION OF ACCESS AUTHORIZATIONS

Enforce the revocation of access authorizations resulting from changes to the security attributes of subjects and objects based on [Assignment: organization-defined rules governing the timing of revocations of access authorizations].

Supplemental Guidance: Revocation 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 is opened or the next time the subject attempts a new access to the object. Revocation based on changes to security labels may take effect immediately. Organizations provide alternative approaches on how to make revocations immediate if systems cannot provide such capability and immediate revocation is necessary.

Related Controls: None.

• ACCESS ENFORCEMENT | CONTROLLED RELEASE

Release information outside of the established system boundary only if:

• The receiving [Assignment: organization-defined system or system component] provides [Assignment: organization-defined security safeguards]; and
• [Assignment: organization-defined security safeguards] are used to validate the appropriateness of the information designated for

Supplemental Guidance: Systems can only protect organizational information within the confines of established system boundaries. Additional security controls may be needed to ensure that such information is adequately protected once it is passed beyond the established system boundaries. In situations where the system is unable to determine the adequacy of the protections provided by entities outside its boundary, as a mitigating control, organizations determine procedurally whether the external systems are providing adequate security. The means used to determine the adequacy of security provided by external systems include, for example, conducting inspections or periodic testing and assessments; 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 systems to employ technical or procedural means to validate the information prior to releasing it to external systems. For example, if the 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 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 that establishes policy regarding access to the information, and that policy applies beyond the realm of a particular system or organization.

Related Controls: SC-16.

• ACCESS ENFORCEMENT | AUDITED OVERRIDE OF ACCESS CONTROL MECHANISMS

Employ an audited override of automated access control mechanisms under [Assignment: organization-defined conditions] by [Assignment: organization-defined roles].

Supplemental Guidance: In certain situations, for example, where there is a threat to human life or an event that threatens the organization’s ability carry out critical missions or business functions, an override capability for access control mechanisms may be needed. Such override conditions are defined by organizations and are used only in those limited circumstances.

Related Controls: AU-2, AU-6, AU-10, AU-12, AU-14.

 

• ACCESS ENFORCEMENT | RESTRICT ACCESS TO SPECIFIC INFORMATION

Restrict direct access to data repositories containing [Assignment: organization-defined information types].

Supplemental Guidance: This control enhancement is intended to provide flexibility regarding access control of specific pieces of information within a system. For example, role-based access could be employed to allow access to only a specific type of personally identifiable information within a database rather than allowing access to the database in its entirety.

Related Controls: None.

• ACCESS ENFORCEMENT | ASSERT AND ENFORCE APPLICATION ACCESS
  • Require applications to assert, as part of the installation process, the access needed to the following system applications and functions: [Assignment: organization-defined system applications and functions]; and
  • Provide an enforcement mechanism to prevent other-than-asserted

Supplemental Guidance: This control enhancement is intended to address applications that need to access existing system applications and functions including, for example, user contacts; global positioning system; camera; keyboard; microphone; network; or phones or other files.

Related Controls: CM-7.

• ACCESS ENFORCEMENT | ATTRIBUTE-BASED ACCESS CONTROL

Enforce attribute-based access control policy over defined subjects and objects and control access based upon [Assignment: organization-defined attributes to assume access permissions].

Supplemental Guidance: Attribute-based access control (ABAC) is an access control policy that restricts system access to authorized users based on their organizational attributes, such as job function; environmental attributes, such as time of day; and resource attributes, such as the classification of a document. Organizations can create specific rules based on attributes and the authorizations (i.e., privileges) to perform needed operations on the systems associated with the organization-defined attributes and rules. When users are assigned to attributes defined in ABAC policies or rules, they can be provisioned to a system with appropriate privileges or dynamically granted access to a protected resource upon access. ABAC can be implemented either as a mandatory or discretionary form of access control. For organizations implementing ABAC with mandatory access controls, the requirements in AC-3(3) define the scope of the subjects and objects covered by the policy.

Related Controls: PE-2.

References: NIST Special Publications 800-57-1, 800-57-2, 800-57-3, 800-162; NIST Interagency

Report 7874.

 

AC-4      INFORMATION FLOW ENFORCEMENT

Control: Enforce approved authorizations for controlling the flow of information within the system and between interconnected systems based on [Assignment: organization-defined information flow control policies].

Supplemental Guidance: Information flow control regulates where information can travel within a system and between 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 systems in different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners or 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, prohibiting information transfers between interconnected systems (i.e., allowing access only); employing hardware

 

mechanisms to enforce one-way information flows; and 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 within 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 that employ rule sets or establish configuration settings that restrict system services, provide a packet- filtering capability based on header information, or message-filtering capability based on message content. 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.

Related Controls: AC-3, AC-6, AC-16, AC-17, AC-19, AC-21, AU-10, CA-9, CM-7, PM-25, SC-4, SC-7, SC-16, SC-31.

Control Enhancements:

• INFORMATION FLOW ENFORCEMENT | OBJECT SECURITY ATTRIBUTES

Use [Assignment: organization-defined security attributes] associated with [Assignment: organization-defined information, source, and destination objects] to enforce [Assignment: organization-defined information flow control policies] as a basis for flow control decisions.

Supplemental Guidance: Information flow enforcement mechanisms compare security attributes associated with information (data content and data structure) and source/destination objects, and respond appropriately 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.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | PROCESSING DOMAINS

Use protected processing domains to enforce [Assignment: organization-defined information flow control policies] as a basis for flow control decisions.

Supplemental Guidance: Within systems, protected processing domains are processing spaces that have controlled interactions with other processing spaces, 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, 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.

Related Controls: SC-39.

• INFORMATION FLOW ENFORCEMENT | DYNAMIC INFORMATION FLOW CONTROL

Enforce dynamic information flow control based on [Assignment: organization-defined policies].

Supplemental Guidance: Organizational 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.

Related Controls: SI-4.

 

• INFORMATION FLOW ENFORCEMENT | FLOW CONTROL OF ENCRYPTED INFORMATION

Prevent encrypted information from bypassing [Assignment: organization-defined flow control mechanisms] by [Selection (one or more): decrypting the information; blocking the flow of the encrypted information; terminating communications sessions attempting to pass encrypted information; [Assignment: organization-defined procedure or method]].

Supplemental Guidance: Content checking, security policy filters, and data type identifiers are examples of flow control mechanisms.

Related Controls: SI-4.

• INFORMATION FLOW ENFORCEMENT | EMBEDDED DATA TYPES

Enforce [Assignment: organization-defined limitations] on embedding data types within other data types.

Supplemental Guidance: Embedding 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.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | METADATA

Enforce information flow control based on [Assignment: organization-defined metadata].

Supplemental Guidance: Metadata is information used to describe the characteristics of data. Metadata can include structural metadata describing data structures or descriptive metadata describing data contents. Enforcing allowed information flows based on metadata enables simpler and more effective flow control. Organizations consider the trustworthiness of metadata regarding 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).

Related Controls: AC-16, SI-7.

• INFORMATION FLOW ENFORCEMENT | ONE-WAY FLOW MECHANISMS

Enforce [Assignment: organization-defined one-way information flows] using hardware mechanisms.

Supplemental Guidance: None.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | SECURITY POLICY FILTERS

Enforce information flow control using [Assignment: organization-defined security policy filters] as a basis for flow control decisions for [Assignment: organization-defined information flows].

Supplemental Guidance: Organization-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 enumerated values or data value ranges, and hidden content. Structured data permits the interpretation of data content by applications. Unstructured data refers to digital information without a data structure or with a data structure that does not facilitate the development of rule sets to address the sensitivity of the information conveyed by the data or the flow enforcement decisions. Unstructured data consists of bitmap objects that are inherently non-language-based (i.e., image, video, or audio files); and textual objects that are based on written or printed languages. Organizations can implement more than one security policy filter to meet information flow control objectives.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | HUMAN REVIEWS

Enforce the use of human reviews for [Assignment: organization-defined information flows] under the following conditions: [Assignment: organization-defined conditions].

 

Supplemental Guidance: Organizations 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.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | ENABLE AND DISABLE SECURITY POLICY FILTERS

Provide the capability for privileged administrators to enable and disable [Assignment: organization-defined security policy filters] under the following conditions: [Assignment: organization-defined conditions].

Supplemental Guidance: For example, as allowed by the system authorization, administrators can enable security policy filters to accommodate approved data types.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | CONFIGURATION OF SECURITY POLICY FILTERS

Provide the capability for privileged administrators to configure [Assignment: organization-defined security policy filters] to support different security policies.

Supplemental Guidance: For 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.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | DATA TYPE IDENTIFIERS

When transferring information between different security domains, use [Assignment: organization- defined data type identifiers] to validate data essential for information flow decisions.

Supplemental Guidance: Data type identifiers include, for example, filenames, file types, file signatures/tokens, and multiple internal file signatures/tokens. Systems may allow transfer of data only if compliant with data type format specifications.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | DECOMPOSITION INTO POLICY-RELEVANT SUBCOMPONENTS

When transferring information between different security domains, decompose information into [Assignment: organization-defined policy-relevant subcomponents] for submission to policy enforcement mechanisms.

Supplemental Guidance: Policy 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.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | SECURITY POLICY FILTER CONSTRAINTS

When transferring information between different security domains, implement [Assignment: organization-defined security policy filters] requiring fully enumerated formats that restrict data structure and content.

Supplemental Guidance: Data structure and content restrictions reduce the range of potential malicious 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, encoding formats for character sets; restricting character data fields to only contain alpha-numeric characters; prohibiting special characters; and validating schema structures.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | DETECTION OF UNSANCTIONED INFORMATION

When transferring information between different security domains, examine the information for the presence of [Assignment: organized-defined unsanctioned information] and prohibit the transfer of such information in accordance with the [Assignment: organization-defined security policy].

 

Supplemental Guidance: Detection of unsanctioned information includes, for example, checking all information to be transferred for malicious code and dirty words.

Related Controls: SI-3.

• INFORMATION FLOW ENFORCEMENT | INFORMATION TRANSFERS ON INTERCONNECTED SYSTEMS

[Withdrawn: Incorporated into AC-4].

• INFORMATION FLOW ENFORCEMENT | DOMAIN AUTHENTICATION

Uniquely identify and authenticate source and destination points by [Selection (one or more): organization, system, application, service, individual] for information transfer.

Supplemental Guidance: Attribution is a critical component of a security concept of operations. The ability to identify source and destination points for information flowing in 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 system labels distinguish among systems, organizations, and individuals involved in preparing, sending, receiving, or disseminating information.

Related Controls: IA-2, IA-3, IA-9.

• INFORMATION FLOW ENFORCEMENT | SECURITY ATTRIBUTE BINDING

[Withdrawn: Incorporated into AC-16].

• INFORMATION FLOW ENFORCEMENT | VALIDATION OF METADATA

When transferring information between different security domains, apply the same security policy filtering to metadata as it applies to data payloads.

Supplemental Guidance: This 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.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | APPROVED SOLUTIONS

Employ [Assignment: organization-defined solutions in approved configurations] to control the flow of [Assignment: organization-defined information] across security domains.

Supplemental Guidance: Organizations 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 provides a baseline listing of approved cross-domain solutions.

Related Controls: None.

• INFORMATION FLOW ENFORCEMENT | PHYSICAL AND LOGICAL SEPARATION OF INFORMATION FLOWS

Separate information flows logically or physically using [Assignment: organization-defined mechanisms and/or techniques] to accomplish [Assignment: organization-defined required separations by types of information].

Supplemental Guidance: Enforcing 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.

Related Controls: SC-32.

• INFORMATION FLOW ENFORCEMENT | ACCESS ONLY

Provide 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.

 

Supplemental Guidance: The 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.

Related Controls: None.

References: NIST Special Publications 800-162, 800-178.

 

AC-5      SEPARATION OF DUTIES

Control:

1. Separate [Assignment: organization-defined duties of individuals];
2. Document separation of duties of individuals; and
3. Define system access authorizations to support separation of

Supplemental Guidance: Separation 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, dividing mission functions and system support functions among different individuals and/or roles; conducting system support functions with different individuals; and ensuring security personnel administering access control functions do not also administer audit functions. Because separation of duty violations can span systems and application domains, organizations consider the entirety of organizational systems and system components when developing policy on separation of duties.

Related Controls: AC-2, AC-3, AC-6, AU-9, CM-5, CM-11, CP-9, IA-2, IA-5, MA-3, MA-5, PS-2, SA-17.

Control Enhancements: None.

References: None.

 

AC-6      LEAST PRIVILEGE

Control: Employ 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.

Supplemental Guidance: Organizations employ least privilege for specific duties and systems. The principle of least privilege is also applied to system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions or business functions. Organizations consider the creation of additional processes, roles, and system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational systems.

Related Controls: AC-2, AC-3, AC-5, AC-16, CM-5, CM-11, PL-2, PM-12, SA-15, SA-17, SC-38.

Control Enhancements:

• LEAST PRIVILEGE | AUTHORIZE ACCESS TO SECURITY FUNCTIONS

Explicitly authorize access to [Assignment: organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information].

Supplemental Guidance: Security functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and establishing 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.

Related Controls: AC-17, AC-18, AC-19, AU-9, PE-2.

• LEAST PRIVILEGE | NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS

Require that users of system accounts, or roles, with access to [Assignment: organization-defined security functions or security-relevant information], use non-privileged accounts or roles, when accessing nonsecurity functions.

Supplemental Guidance: This 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.

Related Controls: AC-17, AC-18, AC-19, PL-4.

• LEAST PRIVILEGE | NETWORK ACCESS TO PRIVILEGED COMMANDS

Authorize network access to [Assignment: organization-defined privileged commands] only for [Assignment: organization-defined compelling operational needs] and document the rationale for such access in the security plan for the system.

Supplemental Guidance: Network access is any access across a network connection in lieu of local access (i.e., user being physically present at the device).

Related Controls: AC-17, AC-18, AC-19.

• LEAST PRIVILEGE | SEPARATE PROCESSING DOMAINS

Provide separate processing domains to enable finer-grained allocation of user privileges.

Supplemental Guidance: Providing separate processing domains for finer-grained allocation of user privileges includes, for example, using virtualization techniques to allow additional user privileges within a virtual machine while restricting privileges to other virtual machines or to the underlying actual machine; employing hardware/software domain separation mechanisms; and implementing separate physical domains.

Related Controls: AC-4, SC-2, SC-3, SC-30, SC-32, SC-39.

• LEAST PRIVILEGE | PRIVILEGED ACCOUNTS

Restrict privileged accounts on the system to [Assignment: organization-defined personnel or roles].

Supplemental Guidance: Privileged 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 they retain the ability to control system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.

Related Controls: IA-2, MA-3, MA-4.

• LEAST PRIVILEGE | PRIVILEGED ACCESS BY NON-ORGANIZATIONAL USERS Prohibit privileged access to the system by non-organizational Supplemental Guidance: None.

Related Controls: AC-18, AC-19, IA-2, IA-8.

• LEAST PRIVILEGE | REVIEW OF USER PRIVILEGES
  • Review [Assignment: organization-defined frequency] the privileges assigned to [Assignment: organization-defined roles or classes of users] to validate the need for such privileges; and
  • Reassign or remove privileges, if necessary, to correctly reflect organizational mission and business

Supplemental Guidance: The need for certain assigned user privileges may change over time reflecting changes in organizational missions and business functions, 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.

Related Controls: CA-7.

 

• LEAST PRIVILEGE | PRIVILEGE LEVELS FOR CODE EXECUTION

Prevent the following software from executing at higher privilege levels than users executing the software: [Assignment: organization-defined software].

Supplemental Guidance: In 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.

Related Controls: None.

• LEAST PRIVILEGE | AUDITING USE OF PRIVILEGED FUNCTIONS

Audit the execution of privileged functions.

Supplemental Guidance: Misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised 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.

Related Controls: AU-2, AU-12.

• LEAST PRIVILEGE | PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS

Prevent non-privileged users from executing privileged functions.

Supplemental Guidance: Privileged functions include, for example, disabling, circumventing, or altering implemented security or privacy controls, establishing 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.

Related Controls: None.

References: None.

 

AC-7      UNSUCCESSFUL LOGON ATTEMPTS

Control:

1. Enforce a limit of [Assignment: organization-defined number] consecutive invalid logon attempts by a user during a [Assignment: organization-defined time-period]; and
2. Automatically [Selection (one or more): lock the account/node for an [Assignment: organization-defined time-period]; lock the account/node until released by an administrator; delay next logon prompt per [Assignment: organization-defined delay algorithm]; take [Assignment: organization-defined action]] when the maximum number of unsuccessful attempts is

Supplemental Guidance: This 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 systems are usually temporary and automatically release after a predetermined time established by organizations. If a delay algorithm is selected, organizations may employ different algorithms for different components of the system based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.

Related Controls: AC-2, AC-9, AU-2, AU-6, IA-5.

Control Enhancements:

• UNSUCCESSFUL LOGON ATTEMPTS | AUTOMATIC ACCOUNT LOCK

[Withdrawn: Incorporated into AC-7].

 

• UNSUCCESSFUL LOGON ATTEMPTS | PURGE OR WIPE MOBILE DEVICE

Purge or wipe information from [Assignment: organization-defined mobile devices] based on [Assignment: organization-defined purging or wiping requirements and techniques] after [Assignment: organization-defined number] consecutive, unsuccessful device logon attempts.

Supplemental Guidance: This control enhancement applies only to mobile devices for which a logon occurs. The logon is to the mobile device, not to any one account on the device.

Successful logons to accounts on mobile devices reset the unsuccessful logon count to zero. Purging or wiping may be unnecessary if the information on the device is protected with sufficiently strong encryption mechanisms.

Related Controls: AC-19, MP-5, MP-6.

• UNSUCCESSFUL LOGON ATTEMPTS | BIOMETRIC ATTEMPT LIMITING

Limit the number of unsuccessful biometric logon attempts to [Assignment: organization-defined number].

Supplemental Guidance: Biometrics are probabilistic in nature. The ability to successfully authenticate can be impacted by many factors, including matching performance and presentation attack detection mechanisms. Organizations select the appropriate number of attempts and fall back mechanisms for users based on these, and other organizationally defined factors.

Related Controls: IA-3.

• UNSUCCESSFUL LOGON ATTEMPTS | USE OF ALTERNATE FACTOR

Allow the use of one or more additional authentication factors after the number of organization- defined consecutive invalid logon attempts have been exceeded.

Supplemental Guidance: This control enhancement supports the objective of availability and allows a user that has inadvertently been locked out to use additional authentication factors to bypass the lockout.

Related Controls: IA-3.

References: NIST Special Publications 800-63, 800-124.

 

AC-8      SYSTEM USE NOTIFICATION

Control:

1. Display [Assignment: organization-defined system use notification message or banner] to users before granting access to the system that provides privacy and security notices consistent with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines and state that:
   1. Users are accessing a U.S. Government system;
   2. System usage may be monitored, recorded, and subject to audit;
   3. Unauthorized use of the system is prohibited and subject to criminal and civil penalties; and
   4. Use of the system indicates consent to monitoring and recording;
2. Retain 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 system; and
3. For publicly accessible systems:
   1. Display system use information [Assignment: organization-defined conditions], before granting further access to the publicly accessible system;
   2. Display references, if any, to monitoring, recording, or auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities; and
   3. Include a description of the authorized uses of the

 

Supplemental Guidance: System use notifications can be implemented using messages or warning banners displayed before individuals log in to systems. System use notifications are used only for access via logon interfaces with human users. Such notifications are not required when human interfaces do not exist. Based on an assessment of risk, organizations consider whether or not a secondary system use notification is needed to access applications or other system resources after the initial network logon. Organizations consider system use notification messages or banners displayed in multiple languages based on organizational needs and the demographics of system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.

Related Controls:  AC-14, PL-4, SI-4.

Control Enhancements: None.

References: None.

 

AC-9      PREVIOUS LOGON (ACCESS) NOTIFICATION

Control: Notify the user, upon successful logon (access) to the system, of the date and time of the last logon (access).

Supplemental Guidance: This control is applicable to logons to systems via human user interfaces and logons to systems that occur in other types of architectures.

Related Controls: AC-7, PL-4.

Control Enhancements:

• PREVIOUS LOGON NOTIFICATION | UNSUCCESSFUL LOGONS

Notify the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.

Supplemental Guidance: None.

Related Controls: None.

• PREVIOUS LOGON NOTIFICATION | SUCCESSFUL AND UNSUCCESSFUL LOGONS

Notify the user, upon successful logon/access, of the number of [Selection: successful logons/accesses; unsuccessful logon/access attempts; both] during [Assignment: organization- defined time-period].

Supplemental Guidance: None.

Related Controls: None.

• PREVIOUS LOGON NOTIFICATION | NOTIFICATION OF ACCOUNT CHANGES

Notify the user, upon successful logon/access, of changes to [Assignment: organization-defined security-related characteristics/parameters of the user’s account] during [Assignment: organization-defined time-period].

Supplemental Guidance: None.

Related Controls: None.

• PREVIOUS LOGON NOTIFICATION | ADDITIONAL LOGON INFORMATION

Notify the user, upon successful logon/access, of the following additional information: [Assignment: organization-defined information to be included in addition to the date and time of the last logon/access].

Supplemental Guidance: This 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 systems, for example, Internet Protocol (IP) addresses from which network logons occurred, notifications of local logons, or device identifiers.

Related Controls: None.

References: None.

 

AC-10 CONCURRENT SESSION CONTROL

Control: Limit the number of concurrent sessions for each [Assignment: organization-defined account and/or account type] to [Assignment: organization-defined number].

Supplemental Guidance: Organizations may define the maximum number of concurrent sessions for system accounts globally, by account type, by account, or a combination thereof. For example, organizations may limit the number of concurrent sessions for system administrators or other individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for system accounts and does not address concurrent sessions by single users via multiple system accounts.

Related Controls: SC-23. Control Enhancements: None. References: None.

AC-11 DEVICE LOCK

Control:

1. Prevent further access to the system by initiating a device lock after [Assignment: organization-defined time-period] of inactivity or upon receiving a request from a user; and
2. Retain the device lock until the user reestablishes access using established identification and authentication

Supplemental Guidance: Device locks are temporary actions taken to prevent logical access to organizational systems when users stop work and move away from the immediate vicinity of those systems but do not want to log out because of the temporary nature of their absences. Device 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. Device locks are not an acceptable substitute for logging out of systems, for example, if organizations require users to log out at the end of workdays.

Related Controls: AC-2, AC-7, IA-11.

Control Enhancements:

• DEVICE LOCK | PATTERN-HIDING DISPLAYS

Conceal, via the device lock, information previously visible on the display with a publicly viewable image.

Supplemental Guidance: The pattern-hiding display 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 caveat that controlled unclassified information is not displayed.

Related Controls: None.

• DEVICE LOCK | REQUIRE USER-INITIATED LOCK

Require the user to initiate a device lock before leaving the system unattended.

Supplemental Guidance: This control enhancement is behavior/policy-based and as such, requires users to take physical action to initiate the device lock.

Related Controls: PL-4.

References: None.

 

AC-12 SESSION TERMINATION

Control: Automatically terminate a user session after [Assignment: organization-defined conditions or trigger events requiring session disconnect].

 

Supplemental Guidance: This 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 system. Such user sessions can be terminated 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 system use.

Related Controls: MA-4, SC-10, SC-23.

Control Enhancements:

• SESSION TERMINATION | USER-INITIATED LOGOUTS

Provide a logout capability for user-initiated communications sessions whenever authentication is used to gain access to [Assignment: organization-defined information resources].

Supplemental Guidance: Information resources to which users gain access via authentication include, for example, local workstations, databases, and password-protected websites/web- based services.

Related Controls: None.

• SESSION TERMINATION | TERMINATION MESSAGE

Display an explicit logout message to users indicating the reliable termination of authenticated communications sessions.

Supplemental Guidance: 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, systems typically send logout messages as final messages prior to terminating sessions.

Related Controls: None.

• SESSION TERMINATION | TIMEOUT WARNING MESSAGE

Display an explicit message to users indicating that the session is about to end.

Supplemental Guidance: To increase usability, notify users of pending session termination and prompt for activity if users desire to continue the session.

Related Controls: None.

References: None.

 

AC-13 SUPERVISION AND REVIEW — ACCESS CONTROL

[Withdrawn: Incorporated into AC-2 and AU-6].

 

AC-14 PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION

Control:

1. Identify [Assignment: organization-defined user actions] that can be performed on the system without identification or authentication consistent with organizational missions and business functions; and
2. Document and provide supporting rationale in the security plan for the system, user actions not requiring identification or

Supplemental Guidance: This control addresses situations in which organizations determine that no identification or authentication is required in organizational 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 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, 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 systems without identification and authentication and therefore, the values for assignment statements can be none.

Related Controls: AC-8, IA-2, PL-2.

Control Enhancements: None.

(1) PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION | NECESSARY USES

[Withdrawn: Incorporated into AC-14].

References: None.

 

AC-15 AUTOMATED MARKING

[Withdrawn: Incorporated into MP-3].

 

AC-16 SECURITY AND PRIVACY ATTRIBUTES

Control:

1. Provide the means to associate [Assignment: organization-defined types of security and privacy attributes] having [Assignment: organization-defined security and privacy attribute values] with information in storage, in process, and/or in transmission;
2. Ensure that the security and privacy attribute associations are made and retained with the information;
3. Establish the permitted [Assignment: organization-defined security attributes] for [Assignment: organization-defined systems]; and
4. Determine the permitted [Assignment: organization-defined values or ranges] for each of the established security and privacy

Supplemental Guidance: Information is represented internally within 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. Privacy attributes, which may be used independently, or in conjunction with security attributes, represent the basic properties or characteristics of an entity with respect to the management of personally identifiable information. Such attributes are used to enable the implementation of the need for the record in the performance of duties, the identification of personal information within data objects, and the identification of permitted uses of personal information. Attributes can be explicitly or implicitly associated with the information contained in organizational systems or system components.

Security and privacy 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 system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security and privacy attributes to subjects and objects is referred to as binding and is inclusive of setting the attribute value and the attribute type. Security and privacy attributes when bound to data or information, enable the enforcement of security policies for access control and information flow control and privacy policies including,

 

for example, for data retention limits and permitted uses of personally identifiable information. Such enforcement occurs through organizational processes or system functions or mechanisms. Binding techniques implemented by systems affect the strength of 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. The content or assigned values of the security and privacy attributes can directly affect the ability of individuals to access organizational information.

Organizations can define the types of attributes needed for selected systems to support missions or business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings can include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations ensure that the security and privacy attribute values are meaningful and relevant. Labeling refers to the association of security and privacy attributes with subjects and objects represented by the internal data structures within organizational systems. This facilitates system-based enforcement of information security and privacy policies. Labels include, for example, access authorizations, nationality, data life cycle protection (i.e., encryption and data expiration), data subject consents, permissible data uses, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. Conversely, marking refers to the association of security and privacy attributes with objects in a human-readable form. This enables manual, procedural, or process-based enforcement of information security and privacy policies. Examples of attribute types include classification level for objects and clearance (access authorization) level for subjects. An attribute value for both attribute types is Top Secret.

Related Controls: AC-3, AC-4, AC-6, AC-21, AC-25, AU-2, AU-10, IP-2, MP-3, PE-22, SC-11, SC-16, SI-12.

Control Enhancements:

• SECURITY AND PRIVACY ATTRIBUTES | DYNAMIC ATTRIBUTE ASSOCIATION

Dynamically associate security and privacy attributes with [Assignment: organization-defined subjects and objects] in accordance with [Assignment: organization-defined security and privacy policies] as information is created and combined.

Supplemental Guidance: Dynamic association of security and privacy attributes is appropriate whenever the security or privacy characteristics of information changes over time. Attributes may change, for example, due to information aggregation issues (i.e., the security and privacy characteristics of individual information elements are different from the combined elements), changes in individual access authorizations (i.e., privileges), changes in the security category of information, and changes in security or privacy policies.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | ATTRIBUTE VALUE CHANGES BY AUTHORIZED INDIVIDUALS

Provide authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security and privacy attributes.

Supplemental Guidance: The content or assigned values of security and privacy attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | MAINTENANCE OF ATTRIBUTE ASSOCIATIONS BY SYSTEM

Maintain the association and integrity of [Assignment: organization-defined security and privacy attributes] to [Assignment: organization-defined subjects and objects].

Supplemental Guidance: Maintaining the association and integrity of security and privacy 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, retention date expirations, access control decisions, and information flow control decisions.

 

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | ASSOCIATION OF ATTRIBUTES BY AUTHORIZED INDIVIDUALS

Provide the capability to associate [Assignment: organization-defined security and privacy attributes] with [Assignment: organization-defined subjects and objects] by authorized individuals (or processes acting on behalf of individuals).

Supplemental Guidance: The support provided by systems can include, for example, prompting users to select specific security or privacy attributes to be associated with specific information objects; employing automated mechanisms to categorize information with appropriate security or privacy attributes based on defined policies; or ensuring that the combination of selected security or privacy attributes selected is valid. Organizations consider the creation, deletion, or modification of security and privacy attributes when defining auditable events.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | ATTRIBUTE DISPLAYS FOR OUTPUT DEVICES

Display security and privacy attributes in human-readable form on each object that the system transmits to output devices to identify [Assignment: organization-identified special dissemination, handling, or distribution instructions] using [Assignment: organization-identified human-readable, standard naming conventions].

Supplemental Guidance: System outputs include, for example, pages, screens, or equivalent. System output devices include, for example, printers, notebook computers, video displays on workstations, and personal digital assistants. To mitigate the risk of unauthorized exposure of selected information, for example, shoulder surfing, the outputs display full attribute values when unmasked by the subscriber.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | MAINTENANCE OF ATTRIBUTE ASSOCIATION BY ORGANIZATION

Require personnel to associate, and maintain the association of [Assignment: organization-defined security and privacy attributes] with [Assignment: organization-defined subjects and objects] in accordance with [Assignment: organization-defined security and privacy policies].

Supplemental Guidance: This control enhancement requires individual users (as opposed to the system) to maintain associations of security and privacy attributes with subjects and objects.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | CONSISTENT ATTRIBUTE INTERPRETATION

Provide a consistent interpretation of security and privacy attributes transmitted between distributed system components.

Supplemental Guidance: To enforce security and privacy policies across multiple components in distributed systems, organizations provide a consistent interpretation of the attributes used in access enforcement and flow enforcement decisions. Organizations establish agreements and processes to ensure that all distributed system components implement security and privacy attributes with consistent interpretations in automated access and flow enforcement actions.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | ASSOCIATION TECHNIQUES AND TECHNOLOGIES

Implement [Assignment: organization-defined techniques and technologies] with [Assignment: organization-defined level of assurance] in associating security and privacy attributes to information.

Supplemental Guidance: The association (i.e., binding) of security and privacy attributes to information within systems is important for conducting automated access enforcement and flow enforcement actions. The association of such attributes can be accomplished with technologies and techniques providing different levels of assurance. For example, systems can cryptographically bind attributes to information using digital signatures with the supporting cryptographic keys protected by hardware devices (sometimes known as hardware roots of trust).

Related Controls: None.

 

• SECURITY AND PRIVACY ATTRIBUTES | ATTRIBUTE REASSIGNMENT

Reassign security and privacy attributes associated with information only via re-grading mechanisms validated using [Assignment: organization-defined techniques or procedures].

Supplemental Guidance: Validated re-grading mechanisms are employed by organizations to provide the requisite levels of assurance for security and privacy attribute reassignment activities. The validation is facilitated by ensuring that re-grading mechanisms are single purpose and of limited function. Since attribute reassignments can directly affect security and privacy policy enforcement actions, using trustworthy re-grading mechanisms is necessary to ensure that such mechanisms perform in a consistent and correct mode of operation.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | ATTRIBUTE CONFIGURATION BY AUTHORIZED INDIVIDUALS

Provide authorized individuals the capability to define or change the type and value of security and privacy attributes available for association with subjects and objects.

Supplemental Guidance: The content or assigned values of security and privacy attributes can directly affect the ability of individuals to access organizational information. Therefore, it is important for systems to be able to limit the ability to create or modify attributes to authorized individuals only.

Related Controls: None.

• SECURITY AND PRIVACY ATTRIBUTES | AUDIT CHANGES Audit changes to security and privacy attributes. Supplemental Guidance:

Related Controls: None.

References: FIPS Publications 140-2, 186-4; NIST Special Publications 800-162, 800-178.

 

AC-17 REMOTE ACCESS

Control:

1. Establish and document usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and
2. Authorize remote access to the system prior to allowing such

Supplemental Guidance: Remote access is access to organizational systems (or processes acting on behalf of users) communicating through external networks such as 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 provides sufficient assurance to the organization that it can effectively treat such connections as internal networks if the cryptographic mechanisms used are implemented in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. VPNs with encrypted tunnels can also affect the capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the specific 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.

Related Controls: AC-2, AC-3, AC-4, AC-18, AC-19, AC-20, CM-10, IA-2, IA-3, IA-8, MA-4, PE- 17, PL-2, PL-4, SC-10, SI-4.

Control Enhancements:

• REMOTE ACCESS | AUTOMATED MONITORING AND CONTROL

Monitor and control remote access methods.

 

Supplemental Guidance: Automated monitoring and control of remote access methods allows organizations to detect attacks and ensure compliance with remote access policies by auditing connection activities of remote users on a variety of system components including, for example, servers, workstations, notebook computers, smart phones, and tablets.

Related Controls: AU-2, AU-6, AU-12, AU-14.

• REMOTE ACCESS | PROTECTION OF CONFIDENTIALITY AND INTEGRITY USING ENCRYPTION

Implement cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.

Supplemental Guidance: The encryption strength of mechanism is selected based on the security categorization of the information.

Related Controls: SC-8, SC-12, SC-13.

• REMOTE ACCESS | MANAGED ACCESS CONTROL POINTS

Route all remote accesses through [Assignment: organization-defined number] managed network access control points.

Supplemental Guidance: Limiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the Trusted Internet Connections initiative requirements for external network connections.

Related Controls: SC-7.

• REMOTE ACCESS | PRIVILEGED COMMANDS AND ACCESS
  • Authorize the execution of privileged commands and access to security-relevant information via remote access only for [Assignment: organization-defined needs]; and
  • Document the rationale for such access in the security plan for the

Supplemental Guidance: None.

Related Controls: AC-6.

• REMOTE ACCESS | MONITORING FOR UNAUTHORIZED CONNECTIONS

[Withdrawn: Incorporated into SI-4].

• REMOTE ACCESS | PROTECTION OF INFORMATION

Protect information about remote access mechanisms from unauthorized use and disclosure.

Supplemental Guidance: None.

Related Controls: AT-2, AT-3, PS-6.

• REMOTE ACCESS | ADDITIONAL PROTECTION FOR SECURITY FUNCTION ACCESS

[Withdrawn: Incorporated into AC-3(10)].

• REMOTE ACCESS | DISABLE NONSECURE NETWORK PROTOCOLS

[Withdrawn: Incorporated into CM-7].

• REMOTE ACCESS | DISCONNECT OR DISABLE ACCESS

Provide the capability to expeditiously disconnect or disable remote access to the system within [Assignment: organization-defined time-period].

Supplemental Guidance: This control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the system or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions or business functions and the need to eliminate immediate or future remote access to systems.

Related Controls: None.

References: NIST Special Publications 800-46, 800-77, 800-113, 800-114, 800-121; NIST

Interagency Report 7966.

 

AC-18 WIRELESS ACCESS

Control:

1. Establish usage restrictions, configuration/connection requirements, and implementation guidance for wireless access; and

 

1. Authorize wireless access to the system prior to allowing such

Supplemental Guidance: Wireless technologies include, for example, microwave, packet radio (ultra-high frequency/very high frequency), 802.11x, and Bluetooth. Wireless networks use authentication protocols which provide credential protection and mutual authentication.

Related Controls: AC-2, AC-3, AC-17, AC-19, CA-9, CM-7, IA-2, IA-3, IA-8, PL-4, SC-40, SC- 43, SI-4.

Control Enhancements:

• WIRELESS ACCESS | AUTHENTICATION AND ENCRYPTION

Protect wireless access to the system using authentication of [Selection (one or more): users; devices] and encryption.

Supplemental Guidance: None.

Related Controls: SC-8, SC-13.

• WIRELESS ACCESS | MONITORING UNAUTHORIZED CONNECTIONS

[Withdrawn: Incorporated into SI-4].

• WIRELESS ACCESS | DISABLE WIRELESS NETWORKING

Disable, when not intended for use, wireless networking capabilities internally embedded within system components prior to issuance and deployment.

Supplemental Guidance: None.

Related Controls: None.

• WIRELESS ACCESS | RESTRICT CONFIGURATIONS BY USERS

Identify and explicitly authorize users allowed to independently configure wireless networking capabilities.

Supplemental Guidance: Organizational authorizations to allow selected users to configure wireless networking capability are enforced in part, by the access enforcement mechanisms employed within organizational systems.

Related Controls: SC-7, SC-15.

• WIRELESS ACCESS | ANTENNAS AND TRANSMISSION POWER LEVELS

Select radio antennas and calibrate transmission power levels to reduce the probability that signals from wireless access points can be received outside of organization-controlled boundaries.

Supplemental Guidance: Actions that may be taken by organizations to limit the unauthorized use of wireless communications outside of organization-controlled boundaries include, for example, reducing the power of wireless transmissions so that the transmissions are less likely to emit a signal that can be captured outside of the physical perimeters of the organization; employing measures such as emissions security to control wireless emanations; and using directional or beam forming antennas that reduce the likelihood that unintended receivers will be able to intercept signals. Prior to taking such mitigating actions, organizations can conduct periodic wireless surveys to understand the radio frequency profile of organizational systems as well as other systems that may be operating in the area.

Related Controls: PE-19.

References: NIST Special Publications 800-48, 800-94, 800-97.

 

AC-19 ACCESS CONTROL FOR MOBILE DEVICES

Control:

1. Establish usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices;
2. Authorize the connection of mobile devices to organizational systems; and
3. Protect and control mobile devices when outside of controlled

 

Supplemental Guidance: A mobile device is a computing device that has a small form factor such that it can easily be carried by a single individual; is designed to operate without a physical connection; possesses local, non-removable or removable data storage; and includes a self- contained power source. Mobile device functionality 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 near 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 notebook/desktop systems, depending upon the nature and intended purpose of the device. Controlled areas are areas or spaces for which organizations provide sufficient physical or procedural safeguards to meet the requirements established for protecting information and systems.

Due to the large variety of mobile devices with different 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, 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.

Usage restrictions and authorization to connect may vary among organizational systems. For example, the organization may authorize the connection of mobile devices to the organizational network and impose a set of usage restrictions while a system owner may withhold authorization for mobile device connection to specific applications or may impose additional usage restrictions before allowing mobile device connections to a system. The need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards for mobile devices are reflected in other security controls allocated to the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some overlap by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.

Related Controls: AC-3, AC-4, AC-7, AC-17, AC-18, AC-20, CA-9, CM-2, CM-6, IA-3, MP-2,

MP-4, MP-5, MP-7, PL-4, SC-7, SC-34, SC-43, SI-3, SI-4.

Control Enhancements:

• ACCESS CONTROL FOR MOBILE DEVICES | USE OF WRITABLE AND PORTABLE STORAGE DEVICES

[Withdrawn: Incorporated into MP-7].

• ACCESS CONTROL FOR MOBILE DEVICES | USE OF PERSONALLY OWNED PORTABLE STORAGE DEVICES

[Withdrawn: Incorporated into MP-7].

• ACCESS CONTROL FOR MOBILE DEVICES | USE OF PORTABLE STORAGE DEVICES WITH NO IDENTIFIABLE OWNER

[Withdrawn: Incorporated into MP-7].

• ACCESS CONTROL FOR MOBILE DEVICES | RESTRICTIONS FOR CLASSIFIED INFORMATION
  • Prohibit the use of unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information unless specifically permitted by the authorizing official; and
  • Enforce the following restrictions on individuals permitted by the authorizing official to use unclassified mobile devices in facilities containing systems processing, storing, or transmitting classified information:
    • Connection of unclassified mobile devices to classified systems is prohibited;
    • Connection of unclassified mobile devices to unclassified systems requires approval from the authorizing official;
    • Use of internal or external modems or wireless interfaces within the unclassified mobile devices is prohibited; and

 

• Unclassified mobile devices and the information stored on those devices are subject to random reviews and inspections by [Assignment: organization-defined security officials], and if classified information is found, the incident handling policy is

• Restrict the connection of classified mobile devices to classified systems in accordance with [Assignment: organization-defined security policies].

Supplemental Guidance:  None.

Related Controls:  CM-8, IR-4.

• ACCESS CONTROL FOR MOBILE DEVICES | FULL DEVICE AND CONTAINER-BASED ENCRYPTION

Employ [Selection: full-device encryption; container encryption] to protect the confidentiality and integrity of information on [Assignment: organization-defined mobile devices].

Supplemental Guidance: Container-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.

Related Controls: SC-13, SC-28.

References: NIST Special Publications 800-114, 800-124, 800-164.

 

AC-20 USE OF EXTERNAL SYSTEMS

Control: Establish terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external systems, allowing authorized individuals to:

1. Access the system from external systems; and
2. Process, store, or transmit organization-controlled information using external

Supplemental Guidance: External systems are systems or components of 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 systems include, for example, personally owned systems, components, or devices; privately owned computing and communications devices in commercial or public facilities; systems owned or controlled by nonfederal organizations; and federal systems that are not owned by, operated by, or under the direct supervision and authority of the organization. This includes systems managed by contractors, systems owned by other federal agencies, and systems owned by other organizations within the same agency. This control addresses the use of external systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services from organizational systems.

For some external systems (i.e., systems operated by other federal agencies and 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. Systems within these organizations may not be considered external. These situations occur when, for example, there are pre-existing sharing and 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, regulations, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational systems and over which organizations have the authority to impose specific 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 on 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 external systems used to access public interfaces to organizational systems. Organizations establish specific terms and conditions for the use of external systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: the specific types of applications that can be accessed on organizational systems from

 

external systems; and the highest security category of information that can be processed, stored, or transmitted on external systems. If the terms and conditions with the owners of external systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.

Related Controls: AC-2, AC-3, AC-17, AC-19, CA-3, PL-2, PL-4, SA-9, SC-7.

Control Enhancements:

• USE OF EXTERNAL SYSTEMS | LIMITS ON AUTHORIZED USE

Permit authorized individuals to use an external system to access the system or to process, store, or transmit organization-controlled information only after:

• Verification of the implementation of required security and privacy controls on the external system as specified in the organization’s security and privacy policies and security and privacy plans; or
• Retention of approved system connection or processing agreements with the organizational entity hosting the external

Supplemental Guidance: This control enhancement recognizes that there are circumstances where individuals using external systems need to access organizational systems. In those situations, organizations need confidence that the external systems contain the necessary security controls so as not to compromise, damage, or otherwise harm organizational systems. Verification that the required security controls have been implemented can be achieved, for example, by external, independent assessments, attestations, or other means, depending on the confidence level required by organizations.

Related Controls: CA-2.

• USE OF EXTERNAL SYSTEMS | PORTABLE STORAGE DEVICES

[Selection: Restrict the use of organization-controlled portable storage devices by authorized individuals on external systems using the following [Assignment: organization-defined restrictions]; Prohibit the use of organization-controlled portable storage devices by authorized individuals on external systems].

Supplemental Guidance: Limits on the use of organization-controlled portable storage devices in external 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.

Related Controls: MP-7, SC-41.

• USE OF EXTERNAL SYSTEMS | NON-ORGANIZATIONALLY OWNED SYSTEMS AND COMPONENTS

[Selection: Restrict the use of non-organizationally owned systems or system components to process, store, or transmit organizational information using the following [Assignment: organization-defined restrictions]; Prohibit the use of non-organizationally owned systems or system components to process, store, or transmit organizational information].

Supplemental Guidance: Non-organizationally owned systems or system components include systems or system components owned by other organizations and personally owned devices. There are potential risks to using non-organizationally owned systems or system components. In some cases, the risk is sufficiently high as to prohibit such use. In other cases, the use of such systems or system components may be allowed but restricted in some way. Restrictions include, for example, requiring the implementation of approved security and privacy controls prior to authorizing the connection of non-organizationally owned systems and components; limiting access to certain types of information, services, or applications; using virtualization techniques to limit processing and storage activities to servers or other system components provisioned by the organization; and agreeing to the specified terms and conditions for usage. Organizations consult with the Office of the General Counsel regarding any legal issues associated with using personally owned devices, including, for example, requirements for conducting forensic analyses during investigations after an incident.

Related Controls: None.

• USE OF EXTERNAL SYSTEMS | NETWORK ACCESSIBLE STORAGE DEVICES

Prohibit the use of [Assignment: organization-defined network accessible storage devices] in external systems.

 

Supplemental Guidance: Network accessible storage devices in external systems include, for example, online storage devices in public, hybrid, or community cloud-based systems.

Related Controls: None.

References: FIPS Publication 199.

 

AC-21 INFORMATION SHARING

Control:

1. Facilitate information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions and privacy authorizations on the information for [Assignment: organization-defined information sharing circumstances where user discretion is required]; and
2. Employ [Assignment: organization-defined automated mechanisms or manual processes] to assist users in making information sharing and collaboration

Supplemental Guidance: This control applies to information that may be restricted in some manner based on some formal or administrative determination. Examples of such information include, contract-sensitive information, proprietary information, classified information related to special access programs or compartments, privileged medical information, and personally identifiable information. Risk analyses and privacy impact analyses can provide useful inputs to these determinations. Depending on the 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.

Related Controls: AC-3, AC-4, AC-16, SC-15.

Control Enhancements:

• INFORMATION SHARING | AUTOMATED DECISION SUPPORT

Enforce information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.

Supplemental Guidance: None.

Related Controls: None.

• INFORMATION SHARING | INFORMATION SEARCH AND RETRIEVAL

Implement information search and retrieval services that enforce [Assignment: organization- defined information sharing restrictions].

Supplemental Guidance: None.

Related Controls: None.

References: NIST Special Publication 800-150; NIST Interagency Report 8062.

 

AC-22 PUBLICLY ACCESSIBLE CONTENT

Control:

1. Designate individuals authorized to post information onto a publicly accessible system;
2. Train authorized individuals to ensure that publicly accessible information does not contain nonpublic information;
3. Review the proposed content of information prior to posting onto the publicly accessible system to ensure that nonpublic information is not included; and
4. Review the content on the publicly accessible system for nonpublic information [Assignment: organization-defined frequency] and remove such information, if

Supplemental Guidance: In accordance with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines, the public is not authorized access to nonpublic information including, for example, information protected under the Privacy Act and proprietary information.

 

This control addresses systems that are controlled by the organization and accessible to the public, typically without identification or authentication. The posting of information on non-organization systems is covered by organizational policy.

Related Controls:  AC-3, AT-2, AT-3, AU-13.

Control Enhancements: None.

References: None.

 

AC-23 DATA MINING PROTECTION

Control: Employ [Assignment: organization-defined data mining prevention and detection techniques] for [Assignment: organization-defined data storage objects] to detect and protect against unauthorized data mining.

Supplemental Guidance: Data storage objects include, for example, databases, database records, and database fields. Data mining prevention and detection techniques include, for example, limiting the types of responses provided to database queries; limiting the number and the frequency of database queries to increase the work factor needed to determine the contents of such databases; and 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.

Related Controls: None. Control Enhancements: None. References: None.

AC-24 ACCESS CONTROL DECISIONS

Control: Establish procedures to ensure [Assignment: organization-defined access control decisions] are applied to each access request prior to access enforcement.

Supplemental Guidance: Access control decisions (also known as authorization decisions) occur when authorization information is applied to specific accesses. In contrast, access enforcement occurs when 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 systems, different entities may perform access control decisions and access enforcement.

Related Controls: AC-2, AC-3.

Control Enhancements:

• ACCESS CONTROL DECISIONS | TRANSMIT ACCESS AUTHORIZATION INFORMATION

Transmit [Assignment: organization-defined access authorization information] using [Assignment: organization-defined security safeguards] to [Assignment: organization-defined systems] that enforce access control decisions.

Supplemental Guidance: In distributed 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 because in distributed systems, there are various access control decisions that need to be made and different entities make these decisions in a serial fashion, each requiring security attributes to make the decisions. Protecting access authorization information ensures that such information cannot be altered, spoofed, or compromised during transmission.

 

Related Controls: None.

• ACCESS CONTROL DECISIONS | NO USER OR PROCESS IDENTITY

Enforce access control decisions based on [Assignment: organization-defined security attributes] that do not include the identity of the user or process acting on behalf of the user.

Supplemental Guidance: In 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 systems, transmitting such information with the needed degree of assurance may be very expensive or difficult to accomplish.

Related Controls: None.

References: NIST Special Publications 800-162, 800-178.

 

AC-25 REFERENCE MONITOR

Control: Implement a reference monitor for [Assignment: 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.

Supplemental Guidance: Information is represented internally within 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 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 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 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.

Related Controls: AC-3, AC-16, SC-3, SC-11, SC-39, SI-13.

Control Enhancements: None.

References: None.

 

3.1     AWARENESS AND TRAINING

 

Quick link to Awareness and Training summary table

 

AT-1      AWARENESS AND TRAINING POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A security and privacy awareness and training policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the security and privacy awareness and training policy and the associated security and privacy awareness and training controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the security and privacy awareness and training policy and procedures;
3. Review and update the current security and privacy awareness and training:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the security and privacy awareness and training procedures implement the security and privacy awareness and training policy and controls; and
5. Develop, document, and implement remediation actions for violations of the awareness and training

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the AT family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-50, 800-100.

 

AT-2      AWARENESS TRAINING

Control: Provide basic security and privacy awareness training to system users (including managers, senior executives, and contractors):

1. As part of initial training for new users;
2. When required by system changes; and

 

1. [Assignment: organization-defined frequency]

Supplemental Guidance: Organizations determine the content of security and privacy awareness training and security and privacy awareness techniques based on the specific organizational requirements and the systems to which personnel have authorized access. The content includes an understanding of the need for information security and privacy and actions by users to maintain security and privacy and to respond to suspected security and privacy incidents. The content also addresses an awareness of the need for operations security. Security and privacy awareness techniques can include, for example, displaying posters, offering supplies inscribed with security and privacy reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security and privacy awareness events. Awareness training after the initial training (i.e., described AT-2c) is conducted at a minimum frequency consistent with applicable laws, directives, regulations, and policies. Such training may be satisfied by one or more short ad hoc sessions and include topical information on recent attack schemes, changes to organizational security and privacy policies, revised security and privacy expectations, and/or a subset of topics from the initial training.

Related Controls: AC-17, AC-22, AT-3, AT-4, CP-3, IA-4, IR-2, IR-7, IR-9, PA-2, PL-4, PM-13, PM-22, PS-7, SA-16.

Control Enhancements:

• AWARENESS TRAINING | PRACTICAL EXERCISES

Include practical exercises in awareness training that simulate security and privacy incidents.

Supplemental Guidance: Practical 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. Privacy-related practical exercises may include, for example, practice modules with quizzes on handling personally identifiable information and affected individuals in various scenarios.

Related Controls: CA-2, CA-7, CP-4, IR-3.

• AWARENESS TRAINING | INSIDER THREAT

Include awareness training on recognizing and reporting potential indicators of insider threat.

Supplemental Guidance: Potential 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 and privacy awareness training includes how to communicate the concerns of employees and management regarding potential indicators of insider threat through organizational channels in accordance with established policies and procedures.

Related Controls: PM-12.

• AWARENESS TRAINING | SOCIAL ENGINEERING AND MINING

Include awareness training on recognizing and reporting potential and actual instances of social engineering and social mining.

Supplemental Guidance: Social engineering is an attempt to trick someone into revealing information or taking an action that can be used to attack or compromise systems. Examples of social engineering include phishing, pretexting, baiting, quid pro quo, and tailgaiting.

Social mining is an attempt, in a social setting, to gather information about the organization that may support future attacks. Security and privacy awareness training includes information on how to communicate concerns of employees and management regarding potential and actual instances of social engineering and mining through organizational channels based on established policies and procedures.

Related Controls: None.

References: NIST Special Publication 800-50.

 

AT-3      ROLE-BASED TRAINING

Control: Provide role-based security and privacy training to personnel with the following roles and responsibilities: [Assignment: organization-defined roles and responsibilities]:

1. Before authorizing access to the system or performing assigned duties;
2. When required by system changes; and
3. [Assignment: organization-defined frequency]

Supplemental Guidance: Organizations determine the appropriate content of security and privacy training based on the assigned roles and responsibilities of individuals and the specific security and privacy requirements of organizations and the systems to which personnel have authorized access, including security-related technical training specifically tailored for assigned duties. Roles that may require role-based security and privacy training include, for example, system owners; authorizing officials; system security officers; privacy officers; enterprise architects; acquisition and procurement officials; systems engineers; system and software developers; system, network, and database administrators; personnel conducting configuration management activities; personnel performing verification and validation activities; auditors; personnel having access to system-level software; security and privacy control assessors; personnel with contingency planning and incident response duties; personnel with privacy management responsibilities; and personnel having access to personally identifiable information. 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, methods, and artifacts for the security and privacy roles defined. Organizations provide the training necessary for individuals to fulfill their responsibilities related to operations and supply chain security within the context of organizational information security and privacy programs.

Role-based security and privacy training also applies to contractors providing services to federal agencies.

Related Controls: AC-17, AC-22, AT-2, AT-4, CP-3, IR-2, IR-7, IR-9, IR-10, PL-4, PM-13, PM-24, PS-7, SA-3, SA-11, SA-12, SA-16, SA-19.

Control Enhancements:

• ROLE-BASED TRAINING | ENVIRONMENTAL CONTROLS

Provide [Assignment: organization-defined personnel or roles] with initial and [Assignment: organization-defined frequency] training in the employment and operation of environmental controls.

Supplemental Guidance: Environmental controls include, for example, fire suppression and detection devices/systems, sprinkler systems, handheld fire extinguishers, fixed fire hoses, smoke detectors, temperature/humidity, heating, ventilation, and air conditioning, and power within the facility. Organizations identify personnel with specific roles and responsibilities associated with environmental controls requiring specialized training.

Related Controls: PE-1, PE-11, PE-13, PE-14, PE-15.

• ROLE-BASED TRAINING | PHYSICAL SECURITY CONTROLS

Provide [Assignment: organization-defined personnel or roles] with initial and [Assignment: organization-defined frequency] training in the employment and operation of physical security controls.

Supplemental Guidance: Physical 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.

Related Controls: PE-2, PE-3, PE-4.

• ROLE-BASED TRAINING | PRACTICAL EXERCISES

Include practical exercises in security and privacy training that reinforce training objectives.

 

Supplemental Guidance: Practical exercises for security may include, for example, security training for software developers that includes simulated cyber-attacks exploiting common software vulnerabilities, or spear/whale phishing attacks targeted at senior leaders/executives. Practical exercises for privacy may include, for example, practice modules with quizzes on handling personally identifiable information in various scenarios, and model scenarios on conducting privacy impact assessments.

Related Controls: None.

• ROLE-BASED TRAINING | SUSPICIOUS COMMUNICATIONS AND ANOMALOUS SYSTEM BEHAVIOR

Provide training to personnel on [Assignment: organization-defined indicators of malicious code] to recognize suspicious communications and anomalous behavior in organizational systems.

Supplemental Guidance: A 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 for example, 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 suspicious email or web communications. For this process to work effectively, organizational personnel are trained and made aware of what constitutes suspicious communications. Training personnel on how to recognize anomalous behaviors in organizational 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.

Related Controls: None.

• ROLE-BASED TRAINING | PERSONALLY IDENTIFIABLE INFORMATION PROCESSING

Provide personnel who process personally identifiable information with initial and [Assignment: organization-defined frequency] training on:

• Organizational authority for collecting personally identifiable information;
• Authorized uses of personally identifiable information;
• Content of System of Records Notices;
• Authorized sharing of personally identifiable information with external parties; and
• Consequences of unauthorized use or sharing of personally identifiable

Supplemental Guidance: Role-based training on handling personally identifiable information helps prevent unauthorized collections or uses of personally identifiable information.

Related Controls: PA-3, PA-4.

References: NIST Special Publication 800-50.

 

AT-4      TRAINING RECORDS

Control:

1. Document and monitor individual system security and privacy training activities including basic security and privacy awareness training and specific role-based system security and privacy training; and
2. Retain individual training records for [Assignment: organization-defined time-period].

Supplemental Guidance: Documentation for specialized training may be maintained by individual supervisors at the option of the organization. The National Archives and Records Administration provides guidance on records retention.

Related Controls: AT-2, AT-3, CP-3, IR-2, PM-14, SI-12.

Control Enhancements: None.

References: None.

 

AT-5      CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS

[Withdrawn: Incorporated into PM-15].

3.1     AUDIT AND ACCOUNTABILITY

 

Quick link to Audit and Accountability summary table

 

AU-1     AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. An audit and accountability policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the audit and accountability policy and procedures;
3. Review and update the current audit and accountability:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the audit and accountability procedures implement the audit and accountability policy and controls; and
5. Develop, document, and implement remediation actions for violations of the audit and accountability

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the AU family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-50, 800-100.

 

AU-2     AUDIT EVENTS

Control:

1. Verify that the system can audit the following event types: [Assignment: organization-defined auditable event types];

 

1. Coordinate the security audit function with other organizational entities requiring audit- related information to enhance mutual support and to help guide the selection of auditable event types;
2. Provide a rationale for why the auditable event types are deemed to be adequate to support after-the-fact investigations of security and privacy incidents; and
3. Specify that the following event types are to be audited within the system: [Assignment: 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].

Supplemental Guidance: An event is any observable occurrence in an organizational system. Organizations identify audit event types as those events which are significant and relevant to the security of systems and the environments in which those systems operate to meet specific and ongoing audit needs. Audit event types can include, for example, password changes; failed logons or failed accesses related to systems; security attribute changes, administrative privilege usage, PIV credential usage, query parameters, or external credential usage. In determining the set of auditable event types, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other system needs, this control also requires identifying that subset of auditable event types that are audited at a given point in time. For example, organizations may determine that 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 and privacy controls and control enhancements for example, AC-2(4), AC-3(10), AC- 6(9), AC-16(11), AC-17(1), CM-3.f, CM-5(1), IA-3(3.b), MA-4(1), MP-4(2), PA-4.d, PE-3, PM-

22, RA-8, SC-7(9), SC-7(15), SI-3(8), SI-4(22), SI-7(8), and SI-10(1). Organizations also include auditable event types that are required by applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. Audit records can be generated at various levels, including at the packet level as information traverses the network. Selecting the appropriate level of auditing is an important aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable event types, the auditing necessary to cover related event types such as the steps in distributed, transaction-based processes and actions that occur in service-oriented architectures.

Related Controls:  AC-2, AC-3, AC-6, AC-7, AC-8, AC-16, AC-17, AU-3, AU-4, AU-5, AU-6, AU-

7, AU-11, AU-12, CM-3, CM-5, CM-6, IA-3, MA-4, MP-4, PA-4, PE-3, PM-22, RA-8, SC-7, SC-

18, SI-3, SI-4, SI-7, SI-10, SI-11.

Control Enhancements:

• AUDIT EVENTS | COMPILATION OF AUDIT RECORDS FROM MULTIPLE SOURCES

[Withdrawn: Incorporated into AU-12].

• AUDIT EVENTS | SELECTION OF AUDIT EVENTS BY COMPONENT

[Withdrawn: Incorporated into AU-12].

• AUDIT EVENTS | REVIEWS AND UPDATES

Review and update the audited events [Assignment: organization-defined frequency].

Supplemental Guidance: Over 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.

Related Controls: None.

• AUDIT EVENTS | PRIVILEGED FUNCTIONS

[Withdrawn: Incorporated into AC-6(9)].

References: NIST Special Publication 800-92.

 

AU-3     CONTENT OF AUDIT RECORDS

Control: The 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.

Supplemental Guidance: Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user or 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, for example, the security and privacy state of the system after the event occurred.

Related Controls: AU-2, AU-8, AU-12, AU-14, MA-4, SI-7, SI-11.

Control Enhancements:

• CONTENT OF AUDIT RECORDS | ADDITIONAL AUDIT INFORMATION

Generate audit records containing the following additional information: [Assignment: organization- defined additional, more detailed information].

Supplemental Guidance: Implementation of this control enhancement is dependent on system functionality to configure audit record content. Detailed 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.

Related Controls: None.

• CONTENT OF AUDIT RECORDS | CENTRALIZED MANAGEMENT OF PLANNED AUDIT RECORD CONTENT

Provide centralized management and configuration of the content to be captured in audit records generated by [Assignment: organization-defined system components].

Supplemental Guidance: This 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 system.

Related Controls: AU-6, AU-7.

• CONTENT OF AUDIT RECORDS | LIMIT PERSONALLY IDENTIFIABLE INFORMATION ELEMENTS

Limit personally identifiable information contained in audit records to the following elements identified in the privacy risk assessment: [Assignment: organization-defined elements].

Supplemental Guidance: Limiting personally identifiable information in audit records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system.

Related Controls: None.

References: NIST Interagency Report 8062.

 

AU-4     AUDIT STORAGE CAPACITY

Control: Allocate audit record storage capacity to accommodate [Assignment: organization-defined audit record retention requirements].

Supplemental Guidance: Organizations 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.

Related Controls: AU-2, AU-5, AU-6, AU-7, AU-9, AU-11, AU-12, AU-14, SI-4.

 

Control Enhancements:

(1) AUDIT STORAGE CAPACITY | TRANSFER TO ALTERNATE STORAGE

Off-load audit records [Assignment: organization-defined frequency] onto a different system or media than the system being audited.

Supplemental Guidance: Off-loading is a process designed to preserve the confidentiality and integrity of audit records by moving the records from the primary system to a secondary or alternate system. It is a common process in 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.

Related Controls: None.

References: None.

 

AU-5     RESPONSE TO AUDIT PROCESSING FAILURES

Control:

1. Alert [Assignment: organization-defined personnel or roles] in the event of an audit processing failure within [Assignment: organization-defined time-period]; and
2. Take the following additional actions: [Assignment: organization-defined actions to be taken].

Supplemental Guidance: Organization-defined actions include, for example, shutting down the system; overwriting oldest audit records; and stopping the generation of audit records. Examples of audit processing failures include, for example, software and hardware errors; failures in the audit capturing mechanisms; and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for audit processing failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. This control applies to each audit data storage repository (i.e., distinct system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.

Related Controls: AU-2, AU-4, AU-7, AU-9, AU-11, AU-12, AU-14, SI-4, SI-12.

Control Enhancements:

• RESPONSE TO AUDIT PROCESSING FAILURES | AUDIT STORAGE CAPACITY

Provide a warning to [Assignment: organization-defined personnel, roles, and/or locations] within [Assignment: organization-defined time-period] when allocated audit record storage volume reaches [Assignment: organization-defined percentage] of repository maximum audit record storage capacity.

Supplemental Guidance: Organizations may have multiple audit data storage repositories distributed across multiple system components, with each repository having different storage volume capacities.

Related Controls: None.

• RESPONSE TO AUDIT PROCESSING FAILURES | REAL-TIME ALERTS

Provide an alert in [Assignment: organization-defined real-time-period] to [Assignment: organization-defined personnel, roles, and/or locations] when the following audit failure events occur: [Assignment: organization-defined audit failure events requiring real-time alerts].

Supplemental Guidance: Alerts 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).

Related Controls: None.

• RESPONSE TO AUDIT PROCESSING FAILURES | CONFIGURABLE TRAFFIC VOLUME THRESHOLDS

Enforce configurable network communications traffic volume thresholds reflecting limits on auditing capacity and [Selection: rejects; delays] network traffic above those thresholds.

 

Supplemental Guidance: Organizations 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 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.

Related Controls: None.

• RESPONSE TO AUDIT PROCESSING FAILURES | SHUTDOWN ON FAILURE

Invoke a [Selection: full system shutdown; partial system shutdown; degraded operational mode with limited mission/business functionality available] in the event of [Assignment: organization- defined audit failures], unless an alternate audit capability exists.

Supplemental Guidance: Organizations determine the types of audit failures that can trigger automatic system shutdowns or degraded operations. Because of the importance of ensuring mission and business continuity, organizations may determine that the nature of the audit failure is not so severe that it warrants a complete shutdown of the system supporting the core organizational missions and business operations. In those instances, partial system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.

Related Controls: AU-15.

References: None.

 

AU-6     AUDIT REVIEW, ANALYSIS, AND REPORTING

Control:

1. Review and analyze system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity];
2. Report findings to [Assignment: organization-defined personnel or roles]; and
3. Adjust the level of audit review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of

Supplemental Guidance: Audit 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 system boundaries, and use of mobile code or VoIP. Findings can be reported to organizational entities that include, for example, the 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, the review/analysis may be carried out by other organizations granted such authority. The frequency, scope, and/or depth of the audit review, analysis, and reporting may be adjusted to meet organizational needs based on new information received.

Related Controls: AC-2, AC-3, AC-6, AC-7, AC-17, AU-7, AU-16, CA-7, CM-2, CM-5, CM-6,

CM-10, CM-11, IA-2, IA-3, IA-5, IA-8, IR-5, MA-4, MP-4, PE-3, PE-6, RA-5, SC-7, SI-3, SI-4, SI-7.

Control Enhancements:

• AUDIT REVIEW, ANALYSIS, AND REPORTING | AUTOMATED PROCESS INTEGRATION

Employ automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.

Supplemental Guidance: Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits.

Related Controls: PM-7.

 

• AUDIT REVIEW, ANALYSIS, AND REPORTING | AUTOMATED SECURITY ALERTS

[Withdrawn: Incorporated into SI-4].

• AUDIT REVIEW, ANALYSIS, AND REPORTING | CORRELATE AUDIT REPOSITORIES

Analyze and correlate audit records across different repositories to gain organization-wide situational awareness.

Supplemental Guidance: Organization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and system) and supports cross-organization awareness.

Related Controls: AU-12, IR-4.

• AUDIT REVIEW, ANALYSIS, AND REPORTING | CENTRAL REVIEW AND ANALYSIS

Provide and implement the capability to centrally review and analyze audit records from multiple components within the system.

Supplemental Guidance: Automated mechanisms for centralized reviews and analyses include, for example, Security Information Management products.

Related Controls: AU-2, AU-12.

• AUDIT REVIEW, ANALYSIS, AND REPORTING | INTEGRATED ANALYSIS OF AUDIT RECORDS

Integrate analysis of audit records with analysis of [Selection (one or more): vulnerability scanning information; performance data; system monitoring information; [Assignment: organization-defined data/information collected from other sources]] to further enhance the ability to identify inappropriate or unusual activity.

Supplemental Guidance: This control enhancement does not require vulnerability scanning, the generation of performance data, or 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 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 uncover denial of service attacks or other types of 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.

Related Controls: AU-12, IR-4.

• AUDIT REVIEW, ANALYSIS, AND REPORTING | CORRELATION WITH PHYSICAL MONITORING

Correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.

Supplemental Guidance: The correlation of physical audit information and audit logs from 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 systems with the additional physical security information that the individual was present at the facility when the logical access occurred, may be useful in investigations.

Related Controls: None.

• AUDIT REVIEW, ANALYSIS, AND REPORTING | PERMITTED ACTIONS

Specify the permitted actions for each [Selection (one or more): system process; role; user] associated with the review, analysis, and reporting of audit information.

Supplemental Guidance: Organizations specify permitted actions for 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 system and include, for example, read, write, execute, append, and delete.

 

Related Controls: None.

• AUDIT REVIEW, ANALYSIS, AND REPORTING | FULL TEXT ANALYSIS OF PRIVILEGED COMMANDS

Perform a full text analysis of audited privileged commands in a physically distinct component or subsystem of the system, or other system that is dedicated to that analysis.

Supplemental Guidance: This control enhancement requires a distinct environment for the dedicated analysis of audit information related to privileged users without compromising such information on the 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.

Related Controls: AU-3, AU-9, AU-11, AU-12.

• AUDIT REVIEW, ANALYSIS, AND REPORTING | CORRELATION WITH INFORMATION FROM NONTECHNICAL SOURCES

Correlate information from nontechnical sources with audit information to enhance organization- wide situational awareness.

Supplemental Guidance: Nontechnical sources include, for example, human resources records documenting organizational policy violations including, for example, sexual harassment incidents and improper use of organizational information assets. Such information can lead 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.

Related Controls: PM-12.

• AUDIT REVIEW, ANALYSIS, AND REPORTING | AUDIT LEVEL ADJUSTMENT

[Withdrawn: Incorporated into AU-6].

References: NIST Special Publications 800-86, 800-101.

 

AU-7     AUDIT REDUCTION AND REPORT GENERATION

Control: Provide and implement an audit reduction and report generation capability that:

1. Supports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and
2. Does not alter the original content or time ordering of audit

Supplemental Guidance: Audit 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 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 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.

Related Controls: AC-2, AU-2, AU-3, AU-4, AU-5, AU-6, AU-12, AU-16, CM-5, IA-5, IR-4, PM- 12, SI-4.

Control Enhancements:

• AUDIT REDUCTION AND REPORT GENERATION | AUTOMATIC PROCESSING

Provide and implement the capability to process audit records for events of interest based on [Assignment: organization-defined audit fields within audit records].

 

Supplemental Guidance: Events 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, Internet Protocol 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 or selectable by specific system component.

Related Controls: None.

• AUDIT REDUCTION AND REPORT GENERATION | AUTOMATIC SORT AND SEARCH

Provide and implement the capability to sort and search audit records for events of interest based on the content of [Assignment: organization-defined audit fields within audit records].

Supplemental Guidance: Sorting and searching of audit records may be based upon the contents of audit record fields, for example, date and time of events; user identifiers; Internet Protocol addresses involved in the event; type of event; or event success or failure.

Related Controls: None.

References: None.

 

AU-8     TIME STAMPS

Control:

1. Use internal system clocks to generate time stamps for audit records; and
2. Record time stamps for audit records that can be mapped to Coordinated Universal Time or Greenwich Mean Time and meets [Assignment: organization-defined granularity of time measurement].

Supplemental Guidance: Time stamps generated by the 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 system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or 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.

Related Controls: AU-3, AU-12, AU-14.

Control Enhancements:

• TIME STAMPS | SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE
  • Compare the internal system clocks [Assignment: organization-defined frequency] with [Assignment: organization-defined authoritative time source]; and
  • Synchronize the internal system clocks to the authoritative time source when the time difference is greater than [Assignment: organization-defined time-period].

Supplemental Guidance: This control enhancement provides uniformity of time stamps for systems with multiple system clocks and systems connected over a network.

Related Controls: None.

• TIME STAMPS | SECONDARY AUTHORITATIVE TIME SOURCE
  • Identify a secondary authoritative time source that is in a different geographic region than the primary authoritative time source; and
  • Synchronize the internal system clocks to the secondary authoritative time source if the primary authoritative time source is

Supplemental Guidance: It may be necessary to employ geolocation information to determine that the secondary authoritative time source is in a different geographic region.

Related Controls: None.

References: None.

 

AU-9     PROTECTION OF AUDIT INFORMATION

Control: Protect audit information and audit tools from unauthorized access, modification, and deletion.

Supplemental Guidance: Audit information includes all information, for example, audit records, audit settings, audit reports, and personally identifiable information, needed to successfully audit system activity. This control focuses on technical or automated protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.

Related Controls: AC-3, AC-6, AU-6, AU-11, AU-14, AU-15, MP-2, MP-4, PE-2, PE-3, PE-6, SC- 8, SI-4.

Control Enhancements:

• PROTECTION OF AUDIT INFORMATION | HARDWARE WRITE-ONCE MEDIA

Write audit trails to hardware-enforced, write-once media.

Supplemental Guidance: This 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.

Related Controls: AU-4, AU-5.

• PROTECTION OF AUDIT INFORMATION | STORE ON SEPARATE PHYSICAL SYSTEMS OR COMPONENTS

Store audit records [Assignment: organization-defined frequency] in a repository that is part of a physically different system or system component than the system or component being audited.

Supplemental Guidance: Storing audit information in a repository separate from the audited system or system component helps to ensure that a compromise of the system being audited does not also result in a compromise of the audit records. It may also enable management of audit records as an organization-wide activity. This control enhancement applies to initial generation as well as backup or long-term storage of audit information.

Related Controls: AU-4, AU-5.

• PROTECTION OF AUDIT INFORMATION | CRYPTOGRAPHIC PROTECTION

Implement cryptographic mechanisms to protect the integrity of audit information and audit tools.

Supplemental Guidance: Cryptographic 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.

Related Controls: AU-10, SC-12, SC-13.

• PROTECTION OF AUDIT INFORMATION | ACCESS BY SUBSET OF PRIVILEGED USERS

Authorize access to management of audit functionality to only [Assignment: organization-defined subset of privileged users].

Supplemental Guidance: Individuals with privileged access to a 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.

Related Controls: AC-5.

• PROTECTION OF AUDIT INFORMATION | DUAL AUTHORIZATION

Enforce dual authorization for [Selection (one or more): movement; deletion] of [Assignment: organization-defined audit information].

 

Supplemental Guidance: Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms require the approval of two authorized individuals to execute. Dual authorization may also be known as two-person control.

Related Controls: AC-3.

• PROTECTION OF AUDIT INFORMATION | READ ONLY ACCESS

Authorize read-only access to audit information to [Assignment: organization-defined subset of privileged users].

Supplemental Guidance: Restricting privileged user authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users, for example, deleting audit records to cover up malicious activity.

Related Controls: None.

• PROTECTION OF AUDIT INFORMATION | STORE ON COMPONENT WITH DIFFERENT OPERATING SYSTEM

Store audit information on a component running a different operating system than the system or component being audited.

Supplemental Guidance: This control enhancement helps reduce the risk of a vulnerability specific to an operating system resulting in a compromise of the audit records.

Related controls: AU-4, AU-5, AU-11, SC-29.

References: FIPS Publications 140-2, 180-4, 202.

 

AU-10 NON-REPUDIATION

Control: Protect against an individual (or process acting on behalf of an individual) falsely denying having performed [Assignment: organization-defined actions to be covered by non-repudiation].

Supplemental Guidance: Types of individual actions covered by non-repudiation include creating information, sending and receiving messages, and approving information. Non-repudiation protects individuals against later claims by authors of not having authored certain documents; senders of not having transmitted messages; receivers of not having received messages; and individual signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from a certain individual, or if an individual took specific actions, for example, sending an email, signing a contract, or approving a procurement request, or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms including, for example, digital signatures and digital message receipts.

Related Controls: AU-9, PM-12, SC-8, SC-12, SC-13, SC-16, SC-17, SC-23.

Control Enhancements:

• NON-REPUDIATION | ASSOCIATION OF IDENTITIES
  • Bind the identity of the information producer with the information to [Assignment: organization-defined strength of binding]; and
  • Provide the means for authorized individuals to determine the identity of the producer of the information.

Supplemental Guidance: This 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.

Related Controls: AC-4, AC-16.

• NON-REPUDIATION | VALIDATE BINDING OF INFORMATION PRODUCER IDENTITY
  • Validate the binding of the information producer identity to the information at [Assignment: organization-defined frequency]; and
  • Perform [Assignment: organization-defined actions] in the event of a validation

 

Supplemental Guidance: This control enhancement prevents the modification of information between production and review. The validation of bindings can be achieved, for example, using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.

Related Controls: AC-3, AC-4, AC-16.

• NON-REPUDIATION | CHAIN OF CUSTODY

Maintain reviewer or releaser identity and credentials within the established chain of custody for all information reviewed or released.

Supplemental Guidance: Chain 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 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.

Related Controls: AC-4, AC-16.

• NON-REPUDIATION | VALIDATE BINDING OF INFORMATION REVIEWER IDENTITY
  • Validate the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between [Assignment: organization-defined security domains]; and
  • Perform [Assignment: organization-defined actions] in the event of a validation

Supplemental Guidance: This control enhancement prevents the modification of information between review and transfer/release. The validation of bindings can be achieved, for example, using cryptographic checksums. Organizations determine validations are in response to user requests or generated automatically.

Related Controls: AC-4, AC-16.

• NON-REPUDIATION | DIGITAL SIGNATURES

[Withdrawn: Incorporated into SI-13].

References: FIPS Publications 140-2, 180-4, 186-4, 202; NIST Special Publication 800-177.

 

AU-11 AUDIT RECORD RETENTION

Control: Retain audit records for [Assignment: organization-defined time-period consistent with records retention policy] to provide support for after-the-fact investigations of security and privacy incidents and to meet regulatory and organizational information retention requirements.

Supplemental Guidance: Organizations 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.

Related Controls: AU-2, AU-4, AU-5, AU-6, AU-9, AU-14, MP-6, RA-5, SI-12.

Control Enhancements:

(1) AUDIT RECORD RETENTION | LONG-TERM RETRIEVAL CAPABILITY

Employ [Assignment: organization-defined measures] to ensure that long-term audit records generated by the system can be retrieved.

Supplemental Guidance: This control enhancement helps to ensure that, from a technological perspective, audit records requiring long-term storage (on the order of years) can be accessed

 

and read when needed. Measures 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.

Related Controls: None.

References: None.

 

AU-12 AUDIT GENERATION

Control:

1. Provide audit record generation capability for the auditable event types in AU-2 a. at [Assignment: organization-defined system components];
2. Allow [Assignment: organization-defined personnel or roles] to select which auditable event types are to be audited by specific components of the system; and
3. Generate audit records for the event types defined in AU-2 d. with the content in AU-3.

Supplemental Guidance: Audit records can be generated from many different system components. The list of audited event types is the set of event types for which audits are to be generated. These event types are a subset of all event types for which the system can generate audit records.

Related Controls: AC-6, AC-17, AU-2, AU-3, AU-4, AU-5, AU-6, AU-7, AU-14, CM-5, MA-4, MP-4, PM-12 SC-18, SI-3, SI-4, SI-7, SI-10.

Control Enhancements:

• AUDIT GENERATION | SYSTEM-WIDE AND TIME-CORRELATED AUDIT TRAIL

Compile audit records from [Assignment: organization-defined system components] into a system- wide (logical or physical) audit trail that is time-correlated to within [Assignment: organization- defined level of tolerance for the relationship between time stamps of individual records in the audit trail].

Supplemental Guidance: Audit 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.

Related Controls: AU-8.

• AUDIT GENERATION | STANDARDIZED FORMATS

Produce a system-wide (logical or physical) audit trail composed of audit records in a standardized format.

Supplemental Guidance: Audit information that is normalized to common standards promotes interoperability and exchange of such information between dissimilar devices and 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 systems do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.

Related Controls: None.

• AUDIT GENERATION | CHANGES BY AUTHORIZED INDIVIDUALS

Provide and implement the capability for [Assignment: organization-defined individuals or roles] to change the auditing to be performed on [Assignment: organization-defined system components] based on [Assignment: organization-defined selectable event criteria] within [Assignment: organization-defined time thresholds].

Supplemental Guidance: This control enhancement enables organizations to extend or limit auditing as necessary to meet organizational requirements. Auditing that is limited to conserve system resources may be extended to address certain threat situations. In addition, auditing may be limited to a specific set of event types 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.

Related Controls: AC-3.

• AUDIT GENERATION | QUERY PARAMETER AUDITS OF PERSONALLY IDENTIFIABLE INFORMATION

Provide and implement the capability for auditing the parameters of user query events for data sets containing personally identifiable information.

Supplemental Guidance: Query parameters are explicit criteria that a user or automated system submits to a system to retrieve data. Auditing of query parameters within systems for datasets that contain personally identifiable information augments an organization’s ability to track and understand the access, usage, or sharing of personally identifiable information by authorized personnel.

Related Controls: None.

References: None.

 

AU-13 MONITORING FOR INFORMATION DISCLOSURE

Control: Monitor [Assignment: organization-defined open source information and/or information sites] [Assignment: organization-defined frequency] for evidence of unauthorized disclosure of organizational information.

Supplemental Guidance: Open source information includes, for example, social networking sites.

Related Controls: AC-22, PE-3, PM-12, RA-5, SC-7.

Control Enhancements:

• MONITORING FOR INFORMATION DISCLOSURE | USE OF AUTOMATED TOOLS

Employ automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.

Supplemental Guidance: Automated mechanisms can include, for example, automated scripts to monitor new posts on selected websites, and commercial services providing notifications and alerts to organizations.

Related Controls: None.

• MONITORING FOR INFORMATION DISCLOSURE | REVIEW OF MONITORED SITES

Review the open source information sites being monitored [Assignment: organization-defined frequency].

Supplemental Guidance: None.

Related Controls: None.

References: None.

 

AU-14 SESSION AUDIT

Control: Provide and implement the capability for authorized users to select a user session to capture/record or view/hear.

Supplemental Guidance: Session 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 laws, Executive Orders, directives, policies, regulations, standard, and guidelines.

Related Controls: AC-3, AU-2, AU-3, AU-4, AU-5, AU-8, AU-9, AU-11, AU-12.

Control Enhancements:

• SESSION AUDIT | SYSTEM START-UP

Initiate session audits automatically at system start-up.

Supplemental Guidance: None.

 

Related Controls: None.

• SESSION AUDIT | CAPTURE AND RECORD CONTENT

Provide and implement the capability for authorized users to capture, record, and log content related to a user session.

Supplemental Guidance: None.

Related Controls: None.

• SESSION AUDIT | REMOTE VIEWING AND LISTENING

Provide and implement the capability for authorized users to remotely view and hear content related to an established user session in real time.

Supplemental Guidance: None.

Related Controls: AC-17.

References: None.

 

AU-15 ALTERNATE AUDIT CAPABILITY

Control: Provide an alternate audit capability in the event of a failure in primary audit capability that implements [Assignment: organization-defined alternate audit functionality].

Supplemental Guidance: Since 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.

Related Controls: AU-5, AU-9. Control Enhancements: None. References: None.

AU-16 CROSS-ORGANIZATIONAL AUDITING

Control: Employ [Assignment: organization-defined methods] for coordinating [Assignment: organization-defined audit information] among external organizations when audit information is transmitted across organizational boundaries.

Supplemental Guidance: When organizations use 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 specific services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance and privacy ramifications. Therefore, it is often the case that cross-organizational auditing simply captures the identity of individuals issuing requests at the initial system, and subsequent systems record that the requests emanated from authorized individuals.

Related Controls: AU-6, AU-7.

Control Enhancements:

• CROSS-ORGANIZATIONAL AUDITING | IDENTITY PRESERVATION

Require that the identity of individuals is preserved in cross-organizational audit trails.

Supplemental Guidance: This control enhancement applies when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.

Related Controls: IA-2, IA-4, IA-5, IA-8.

• CROSS-ORGANIZATIONAL AUDITING | SHARING OF AUDIT INFORMATION

Provide cross-organizational audit information to [Assignment: organization-defined organizations] based on [Assignment: organization-defined cross-organizational sharing agreements].

 

Supplemental Guidance: Because 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.

Related Controls: IR-4, SI-4.

References: None.

 

 

 

3.2     ASSESSMENT, AUTHORIZATION, AND MONITORING

Quick link to Assessment, Authorization, and Monitoring summary table

 

CA-1      ASSESSMENT, AUTHORIZATION, AND MONITORING POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A security and privacy assessment, authorization, and monitoring policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the security and privacy assessment, authorization, and monitoring policy and the associated security and privacy assessment, authorization, and monitoring controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the security and privacy assessment, authorization, and monitoring policy and procedures;
3. Review and update the current security and privacy assessment, authorization, and monitoring:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the security and privacy assessment, authorization, and monitoring procedures implement the security and privacy assessment, authorization, and monitoring policy and controls; and
5. Develop, document, and implement remediation actions for violations of security and privacy assessment, authorization, and monitoring

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the CA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-50, 800-100, 800-122; NIST

Interagency Report 8062.

CA-2    ASSESSMENTS

Control:

1. Develop a security and privacy assessment plan that describes the scope of the assessment including:
   1. Security and privacy controls and control enhancements under assessment;
   2. Assessment procedures to be used to determine control effectiveness; and
   3. Assessment environment, assessment team, and assessment roles and responsibilities;
2. Ensure the assessment plan is reviewed and approved by the authorizing official or designated representative prior to conducting the assessment;
3. Assess the security and privacy controls in the system and its environment of operation [Assignment: 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 and privacy requirements;
4. Produce a security and privacy assessment report that document the results of the assessment; and
5. Provide the results of the security and privacy control assessment to [Assignment: organization-defined individuals or roles].

Supplemental Guidance: Organizations assess security and privacy controls in organizational systems and the environments in which those systems operate as part of initial and ongoing authorizations; FISMA annual assessments; continuous monitoring; and system development life cycle activities. Assessments ensure that organizations meet information security and privacy requirements; identify weaknesses and deficiencies in the development process; provide essential information needed to make risk-based decisions as part of authorization processes; and ensure compliance to vulnerability mitigation procedures. Organizations conduct assessments on the implemented controls from Chapter Three as documented in security plans and privacy plans.

Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security and privacy posture of systems during the entire life cycle. 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 controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting requirements. Assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of authorization decisions are provided to authorizing officials, senior agency officials for privacy, and/or authorizing official designated representatives.

To satisfy annual assessment requirements, organizations can use assessment results from the following sources: initial or ongoing system authorizations; continuous monitoring; or system development life cycle activities. Organizations ensure that assessment results are current, relevant to the determination of control effectiveness, and obtained with the appropriate level of assessor independence. Existing 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. After the initial authorizations, organizations assess controls during continuous monitoring. Organizations also establish the frequency for ongoing assessments in accordance with organizational continuous monitoring strategies. External audits including, for example, audits by external entities such as regulatory agencies, are outside the scope of this control.

Related Controls: AC-20, CA-5, CA-6, CA-7, PM-9, RA-5, SA-11, SA-12, SC-38, SI-3, SI-12.

Control Enhancements:

• ASSESSMENTS | INDEPENDENT ASSESSORS

Employ independent assessors or assessment teams to conduct security and privacy control assessments.

 

Supplemental Guidance: Independent assessors or assessment teams are individuals or groups conducting impartial assessments of systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest regarding development, operation, sustainment, or management of the systems under assessment or the determination of control effectiveness.

To achieve impartiality, assessors should not create a mutual or conflicting interest with the organizations where the assessments are being conducted; assess their own work; act as management or employees of the organizations they are serving; or 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 systems and/or the 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 assessment services have sufficient independence, for example, when system owners are not directly involved in contracting processes or cannot influence the impartiality of assessors conducting assessments. When organizations that own the 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.

Related Controls: None.

• ASSESSMENTS | SPECIALIZED ASSESSMENTS

Include as part of security and privacy control assessments, [Assignment: organization-defined frequency], [Selection: announced; unannounced], [Selection (one or more): in-depth monitoring; vulnerability scanning; malicious user testing; insider threat assessment; performance and load testing; [Assignment: organization-defined other forms of assessment]].

Supplemental Guidance: Organizations can conduct specialized assessments including, for example, verification, validation, insider threat assessments, malicious user testing, system monitoring, and other forms of testing. Such assessments can improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security and privacy. Organizations conduct these types of specialized assessments in accordance with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. 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.

Related Controls: PE-3, SI-2.

• ASSESSMENTS | EXTERNAL ORGANIZATIONS

Accept the results of security and privacy control assessments of [Assignment: organization- defined system] performed by [Assignment: organization-defined external organization] when the assessment meets [Assignment: organization-defined requirements].

Supplemental Guidance: Organizations may rely on security and privacy control assessments of organizational systems by other (external) organizations. Using such assessments and reusing existing assessment evidence can significantly decrease the time and resources required for assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations consider in determining whether to accept assessment results from external organizations can vary. Such factors include, for example, past assessment experiences the organization has had with the organization conducting the assessment; the reputation that the assessing organization has with regard to assessments; the level of detail of supporting assessment evidence provided; and the mandates imposed by applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.

 

Related Controls: None.

References: FIPS Publication 199; NIST Special Publications 800-37, 800-39, 800-53A, 800-115,

800-122, 800-137; NIST Interagency Report 8062.

 

CA-3      SYSTEM INTERCONNECTIONS

Control:

1. Authorize connections from the system to other systems using Interconnection Security Agreements;
2. Document, for each interconnection, the interface characteristics, security and privacy requirements, and the nature of the information communicated; and
3. Review and update Interconnection Security Agreements [Assignment: organization-defined frequency].

Supplemental Guidance: This control applies to dedicated connections between two or more separate systems and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations consider the risks that may be introduced when systems are connected to other systems with different security and privacy requirements and controls, including systems within the same organization and systems external to the organization. Authorizing officials determine the risk associated with 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, those organizations can describe the interface characteristics between the interconnecting systems in their respective security and privacy plans. If interconnecting systems have different authorizing officials within the same organization, the organizations can develop Interconnection Security Agreements or they can describe the interface characteristics between the systems in the security and privacy 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 organizations. Risk considerations also include systems sharing the same networks. As part of the risk assessment of connecting to external systems, organizations consider the number and types of transitive connections that exist when establishing such connections.

Related Controls: AC-20, AU-16, IA-3, PL-2, RA-3, SA-9, SC-7, SI-12.

Control Enhancements:

• SYSTEM INTERCONNECTIONS | UNCLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS

Prohibit the direct connection of an [Assignment: organization-defined unclassified, national security system] to an external network without the use of [Assignment: organization-defined boundary protection device].

Supplemental Guidance: Organizations typically do not have control over external networks including the Internet. Approved boundary protection devices including, for example, routers and firewalls. mediate communications and information flows between unclassified national security systems and external networks.

Related Controls: None.

• SYSTEM INTERCONNECTIONS | CLASSIFIED NATIONAL SECURITY SYSTEM CONNECTIONS

Prohibit the direct connection of a classified, national security system to an external network without the use of [Assignment: organization-defined boundary protection device].

Supplemental Guidance: Organizations typically do not have control over external networks including the Internet. Approved boundary protection devices including, for example, routers and firewalls, mediate communications and 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 systems to external networks.

Related Controls: None.

 

• SYSTEM INTERCONNECTIONS | UNCLASSIFIED NON-NATIONAL SECURITY SYSTEM CONNECTIONS

Prohibit the direct connection of an [Assignment: organization-defined unclassified, non-national security system] to an external network without the use of [Assignment; organization-defined boundary protection device].

Supplemental Guidance: Organizations typically do not have control over external networks including the Internet. Approved boundary protection devices including, for example, routers and firewalls mediate communications and information flows between unclassified non- national security systems and external networks.

Related Controls: None.

• SYSTEM INTERCONNECTIONS | CONNECTIONS TO PUBLIC NETWORKS

Prohibit the direct connection of an [Assignment: organization-defined system] to a public network.

Supplemental Guidance: A public network is any network accessible to the general public including, for example, the Internet and organizational extranets with public access.

Related Controls: None.

• SYSTEM INTERCONNECTIONS | RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS

Employ a deny-all, permit-by-exception policy for allowing [Assignment: organization-defined systems] to connect to external systems.

Supplemental Guidance: Organizations can constrain system connectivity to external domains by employing a deny-all, permit-by-exception policy known as whitelisting. Organizations determine what exceptions, if any, are acceptable. This control enhancement is applied to a system that is connected to another system. Alternatively, control enhancement SC-7(5) applies to any type of network communications.

Related Controls: SC-7.

• SYSTEM INTERCONNECTIONS | SECONDARY AND TERTIARY CONNECTIONS
  • Identify secondary and tertiary connections to the interconnected systems; and
  • Take measures to ensure that connections are severed when security and privacy controls on identified secondary and tertiary systems cannot be verified or

Supplemental Guidance: For certain critical systems and applications including, for example, high-value assets, it may be necessary to identify second and third level connections to the interconnected systems. The transparency of the protection measures in place in secondary and tertiary systems connected directly or indirectly to organizational systems is essential in understanding the actual security and privacy risks resulting from those interconnections.

Organizational systems can inherit risk from secondary and tertiary systems through those connections and make the organizational systems more susceptible to threats, hazards, and adverse consequences.

Related Controls: None.

References: FIPS Publication 199; NIST Special Publication 800-47.

 

CA-4      SECURITY CERTIFICATION

[Withdrawn: Incorporated into CA-2].

 

CA-5      PLAN OF ACTION AND MILESTONES

Control:

1. Develop a plan of action and milestones for the system to document the planned remedial actions of the organization to correct weaknesses or deficiencies noted during the assessment of the controls and to reduce or eliminate known vulnerabilities in the system; and
2. Update existing plan of action and milestones [Assignment: organization-defined frequency] based on the findings from control assessments, impact analyses, and continuous monitoring activities.

 

Supplemental Guidance: Plans of action and milestones are required documents in authorization packages and are subject to federal reporting requirements established by OMB.

Related Controls: CA-2, CA-7, PM-4, PM-9, RA-7, SI-2, SI-12.

Control Enhancements:

(1) PLAN OF ACTION AND MILESTONES | AUTOMATION SUPPORT FOR ACCURACY AND CURRENCY

Employ automated mechanisms to ensure that the plan of action and milestones for the system is accurate, up to date, and readily available.

Supplemental Guidance: None.

Related Controls: None.

References: NIST Special Publication 800-37.

 

CA-6      AUTHORIZATION

Control:

1. Assign a senior-level executive or manager as the authorizing official for the system and for any common controls inherited by the system;
2. Ensure that the authorizing official, before commencing operations:
   1. Authorizes the system for processing; and
   2. Authorizes the common controls inherited by the system; and
3. Update the authorizations [Assignment: organization-defined frequency].

Supplemental Guidance: Authorizations are official management decisions by senior officials to authorize operation of systems (including the controls inherited by those 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 and privacy controls. Authorizing officials provide budgetary oversight for organizational systems or assume responsibility for the mission and business operations supported by those systems. The authorization process is a federal responsibility and therefore, authorizing officials must be federal employees. Authorizing officials are responsible and accountable for security and privacy risks associated with the operation and use of organizational systems. Nonfederal organizations may have similar processes to authorize their systems and senior officials that assume the authorization role and associated responsibilities. Organizations conduct ongoing authorizations of systems by implementing continuous monitoring programs. Robust continuous monitoring programs reduce the need for separate reauthorization processes. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages including the security and privacy plans, security and privacy assessment reports, and plans of action and milestones, is updated on an ongoing basis. This provides authorizing officials, system owners, and common control providers with an up-to-date status of the security and privacy state of their systems, controls, and environments of operation. To reduce the cost of reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.

Related Controls: CA-2, CA-7, PM-9, PM-10, SA-10, SI-12.

Control Enhancements:

• AUTHORIZATION | JOINT AUTHORIZATION — SAME ORGANIZATION

Employ a joint authorization process for the system that includes multiple authorizing officials from the same organization conducting the authorization.

Supplemental Guidance: Assigning multiple authorizing officials from the same organization to serve as co-authorizing officials for the system, increases the level of independence in the risk-based decision making process for security and privacy. It also implements the concepts of separation of duties and dual authorization as applied to the system authorization process.

 

This enhancement is most relevant for interconnected systems, shared systems, and systems with one or more information owners.

Related Controls: AC-6.

• AUTHORIZATION | JOINT AUTHORIZATION — DIFFERENT ORGANIZATIONS

Employ a joint authorization process for the system that includes multiple authorizing officials with at least one authorizing official from an organization external to the organization conducting the authorization.

Supplemental Guidance: Assigning multiple authorizing officials, at least one of which comes from an external organization, to serve as co-authorizing officials for the system, increases the level of independence in the risk-based decision making process for security and privacy. It also implements the concepts of separation of duties and dual authorization and as applied to the system authorization process. Employing authorizing officials from external organizations to supplement the authorization official from the organization owning or hosting the system may be necessary when those organizations have a vested interest or equities in the outcome of the authorization decision. This situation may occur with interconnected systems, shared systems, and systems with one or more information owners. Accordingly, the authorizing officials from the external organizations may be considered key stakeholders of the system undergoing authorization.

Related Controls: AC-6.

References: NIST Special Publications 800-37, 800-137; NIST Supplemental Guidance on Ongoing Authorization.

 

CA-7      CONTINUOUS MONITORING

Control: Develop a security and privacy continuous monitoring strategy and implement security and privacy continuous monitoring programs that include:

1. Establishing the following security and privacy metrics to be monitored: [Assignment: organization-defined metrics];
2. Establishing [Assignment: organization-defined frequencies] for monitoring and [Assignment: organization-defined frequencies] for ongoing assessment of security and privacy control effectiveness;
3. Ongoing security and privacy control assessments in accordance with the organizational continuous monitoring strategy;
4. Ongoing security and privacy status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;
5. Correlation and analysis of security- and privacy-related information generated by security and privacy control assessments and monitoring;
6. Response actions to address results of the analysis of security- and privacy-related information; and
7. Reporting the security and privacy status of the organization and organizational systems to [Assignment: organization-defined personnel or roles] [Assignment: organization-defined frequency].

Supplemental Guidance: Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security and privacy to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess security and privacy controls and associated risks at a frequency sufficient to support risk-based decisions. The results of continuous monitoring generate risk response actions by organizations. When monitoring the effectiveness of controls that have been grouped into capabilities, a root-cause analysis may be needed to determine the specific control that has failed. Continuous monitoring programs also allow organizations to maintain the authorizations of systems and common controls over time in highly dynamic environments of operation with changing mission and business needs, threats,

 

vulnerabilities, and technologies. Having access to security- and privacy-related information on a continuing basis through reports and dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing authorization decisions. Automation supports more frequent updates to hardware, software, and firmware inventories, authorization packages, 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 systems.

Related Controls: AC-2, AC-6, AU-6, CA-2, CA-5, CA-6, CM-3, CM-4, CM-6, CM-11, IA-5, PE-

6, PL-2, PM-4, PM-6, PM-9, PM-10, PM-12, PM-14, PM-32, RA-3, RA-5, RA-7, SA-11, SC-5, SC-38, SI-3, SI-4, SI-12.

Control Enhancements:

• CONTINUOUS MONITORING | INDEPENDENT ASSESSMENT

Employ independent assessors or assessment teams to monitor the security and privacy controls in the system on an ongoing basis.

Supplemental Guidance: Organizations can maximize the value of control assessments during the continuous monitoring process by requiring that assessments be conducted by assessors with appropriate levels of independence. The level of assessor independence required is based on organizational continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not create a mutual or conflicting interest with the organizations where the assessments are being conducted; assess their own work; act as management or employees of the organizations they are serving; or place themselves in advocacy positions for the organizations acquiring their services.

Related Controls: None.

• CONTINUOUS MONITORING | TYPES OF ASSESSMENTS

[Withdrawn: Incorporated into CA-2].

• CONTINUOUS MONITORING | TREND ANALYSES

Employ trend analyses to determine if security and privacy control implementations, the frequency of continuous monitoring activities, and the types of activities used in the continuous monitoring process need to be modified based on empirical data.

Supplemental Guidance: Trend analyses can include, for example, examining recent threat information regarding the types of threat events that have occurred within the organization or the federal government, success rates of certain types of attacks, emerging vulnerabilities in specific technologies, evolving social engineering techniques, results from multiple control assessments, the effectiveness of configuration settings, and findings from Inspectors General or auditors.

Related Controls: None.

• CONTINUOUS MONITORING | RISK MONITORING

Ensure risk monitoring is an integral part of the continuous monitoring strategy that includes the following:

• Effectiveness monitoring;
• Compliance monitoring; and
• Change

Supplemental Guidance: Effectiveness monitoring determines the ongoing effectiveness of implemented risk response measures. Compliance monitoring verifies that the required risk response measures are implemented. It also verifies that security and privacy requirements are satisfied. Change monitoring identifies changes to organizational systems and environments of operation that may affect security and privacy risk.

Related Controls: None.

References: NIST Special Publications 800-37, 800-39, 800-53A, 800-115, 800-122, 800-137;

NIST Interagency Reports 8011, 8062.

 

CA-8      PENETRATION TESTING

Control: Conduct penetration testing [Assignment: organization-defined frequency] on [Assignment: organization-defined systems or system components].

Supplemental Guidance:  Penetration testing is a specialized type of assessment conducted on systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Penetration testing goes beyond automated vulnerability scanning and is most effectively conducted by penetration testing agents and teams with demonstrable skills and experience that, depending on the scope of the penetration testing, include technical expertise in network, operating system, and/or application level security. Penetration testing can be used to either validate vulnerabilities or determine the degree of penetration resistance of systems to adversaries within specified constraints. Such constraints include, for example, time, resources, and skills. Penetration testing attempts to duplicate the actions of adversaries in carrying out attacks against organizations and provides a more in-depth analysis of security- and privacy- related weaknesses or deficiencies. Organizations can use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of a system and can exercise both physical and technical controls. A standard method for penetration testing includes, for example, pretest analysis based on full knowledge of the target system; pretest identification of potential vulnerabilities based on pretest analysis; and testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before commencement of penetration testing scenarios. Organizations correlate the rules of engagement for the penetration tests with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Risk assessments guide the decisions on the level of independence required for personnel conducting penetration testing.

Related Controls: SA-11, SA-12.

Control Enhancements:

• PENETRATION TESTING | INDEPENDENT PENETRATION AGENT OR TEAM

Employ an independent penetration agent or penetration team to perform penetration testing on the system or system components.

Supplemental Guidance: Independent penetration agents or teams are individuals or groups who conduct impartial penetration testing of organizational systems. Impartiality implies that penetration agents or teams are free from any perceived or actual conflicts of interest with respect to the development, operation, or management of the systems that are the targets of the penetration testing. Supplemental guidance for CA-2(1) provides additional information on independent assessments that can be applied to penetration testing.

Related Controls: CA-2.

• PENETRATION TESTING | RED TEAM EXERCISES

Employ [Assignment: organization-defined red team exercises] to simulate attempts by adversaries to compromise organizational systems in accordance with applicable rules of engagement.

Supplemental Guidance: Red team exercises extend the objectives of penetration testing by examining the security and privacy posture of organizations and their ability to implement effective cyber defenses. Red team exercises reflect simulated attempts by adversaries to compromise organizational missions and business functions and provide a comprehensive assessment of the security and privacy state of systems and organizations. Simulated attempts by adversaries to compromise missions and business functions and the systems that support those missions and functions may include technology-based attacks and social engineering- based attacks. Technology-based attacks include interactions with hardware, software, or firmware components and/or mission and business processes. Social engineering-based attacks include interactions via email, telephone, shoulder surfing, or personal conversations. Red team exercises are most effectively conducted by penetration testing agents and teams with knowledge of and experience with current adversarial tactics, techniques, procedures, and tools. While penetration testing may be primarily laboratory-based testing, organizations

 

can use red team exercises to provide more comprehensive assessments that reflect real-world conditions. Red team exercises can be used to improve security and privacy awareness and training and to assess control effectiveness.

Related Controls: None.

• PENETRATION TESTING | FACILITY PENETRATION TESTING

Employ a penetration testing process that includes [Assignment: organization-defined frequency] [Selection: announced; unannounced] attempts to bypass or circumvent controls associated with physical access points to the facility.

Supplemental Guidance:  None.

Related Controls:  CA-2, PE-3.

References: None.

 

CA-9      INTERNAL SYSTEM CONNECTIONS

Control:

1. Authorize internal connections of [Assignment: organization-defined system components or classes of components] to the system; and
2. Document, for each internal connection, the interface characteristics, security and privacy requirements, and the nature of the information

Supplemental Guidance: This control applies to connections between organizational systems and separate constituent system components. These intra-system connections, include, for example, system connections with mobile devices, notebook computers, desktop computers, workstations, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal system connection, organizations can authorize internal connections for a class of system components with common characteristics and/or configurations. This can include, for example, all digital printers, scanners, and copiers with a specified processing, transmission, and storage capability or all smart phones with a specific baseline configuration.

Related Controls: AC-3, AC-4, AC-18, AC-19, CM-2, IA-3, SC-7, SI-12.

Control Enhancements:

(1) INTERNAL SYSTEM CONNECTIONS | COMPLIANCE CHECKS

Perform security and privacy compliance checks on constituent system components prior to the establishment of the internal connection.

Supplemental Guidance: Compliance checks may include, for example, verification of the relevant baseline configuration.

Related Controls: CM-6.

References: NIST Special Publication 800-124; NIST Interagency Report 8023.

 

3.1     CONFIGURATION MANAGEMENT

Quick link to Configuration Management summary table

 

CM-1     CONFIGURATION MANAGEMENT POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A configuration management policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the configuration management policy and the associated configuration management controls;
2. Designate an [Assignment: organization-defined senior management official] to manage configuration management policy and procedures;
3. Review and update the current configuration management:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the configuration management procedures implement the configuration management policy and controls; and
5. Develop, document, and implement remediation actions for violations of the configuration management

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the CM family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

CM-2     BASELINE CONFIGURATION

Control:

1. Develop, document, and maintain under configuration control, a current baseline configuration of the system; and
2. Review and update the baseline configuration of the system:

 

1. [Assignment: organization-defined frequency];
2. When required due to [Assignment organization-defined circumstances]; and
3. When system components are installed or

Supplemental Guidance: This control establishes baseline configurations for 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 systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to systems. Baseline configurations include information about system components, network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational systems change over time. Baseline configurations of systems reflect the current enterprise architecture.

Related Controls: AC-19, AU-6, CA-9, CM-1, CM-3, CM-5, CM-6, CM-8, CM-9, CP-9, CP-10, CP-12, PL-8, PM-5, SA-10, SC-18.

Control Enhancements:

• BASELINE CONFIGURATION | REVIEWS AND UPDATES

[Withdrawn: Incorporated into CM-2].

• BASELINE CONFIGURATION | AUTOMATION SUPPORT FOR ACCURACY AND CURRENCY

Employ automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the system.

Supplemental Guidance: Automated mechanisms that help organizations maintain consistent baseline configurations for 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 system level, or at the operating system or component level including, for example, on workstations, servers, notebook computers, network components, or mobile devices. Tools can be used, for example, to track version numbers on operating systems, 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 system component inventory and baseline configuration activities.

Related Controls: CM-7, IA-3, RA-5.

• BASELINE CONFIGURATION | RETENTION OF PREVIOUS CONFIGURATIONS

Retain [Assignment: organization-defined previous versions of baseline configurations of the system] to support rollback.

Supplemental Guidance: Retaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.

Related Controls: None.

• BASELINE CONFIGURATION | UNAUTHORIZED SOFTWARE

[Withdrawn: Incorporated into CM-7(4)].

• BASELINE CONFIGURATION | AUTHORIZED SOFTWARE

[Withdrawn: Incorporated into CM-7(5)].

• BASELINE CONFIGURATION | DEVELOPMENT AND TEST ENVIRONMENTS

Maintain a baseline configuration for system development and test environments that is managed separately from the operational baseline configuration.

Supplemental Guidance: Establishing separate baseline configurations for development, testing, and operational environments helps protect 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.

Related Controls: CM-4, SC-3, SC-7.

• BASELINE CONFIGURATION | CONFIGURE SYSTEMS AND COMPONENTS FOR HIGH-RISK AREAS
  • Issue [Assignment: organization-defined systems or system components] with [Assignment: organization-defined configurations] to individuals traveling to locations that the organization deems to be of significant risk; and
  • Apply [Assignment: organization-defined security safeguards] to the components when the individuals return from

Supplemental Guidance: When it is known that systems or system components will be in high- risk areas, additional controls may be implemented to counter the increased threat in such areas. For example, organizations can take specific actions for notebook computers used by individuals departing on and returning from travel. These actions can 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 component after travel is completed. Specially configured notebook computers include, for example, computers with sanitized hard drives, limited applications, and 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 and reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family.

Related Controls: None.

References: NIST Special Publications 800-124, 800-128.

 

CM-3     CONFIGURATION CHANGE CONTROL

Control:

1. Determine the types of changes to the system that are configuration-controlled;
2. Review proposed configuration-controlled changes to the system and approve or disapprove such changes with explicit consideration for security impact analyses;
3. Document configuration change decisions associated with the system;
4. Implement approved configuration-controlled changes to the system;
5. Retain records of configuration-controlled changes to the system for [Assignment: organization-defined time-period];
6. Monitor and review activities associated with configuration-controlled changes to the system; and
7. Coordinate and provide oversight for configuration change control activities through [Assignment: organization-defined configuration change control element] that convenes [Selection (one or more): [Assignment: organization-defined frequency]; [Assignment: organization-defined configuration change conditions]].

Supplemental Guidance: Configuration change controls for organizational 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 systems; changes to configuration settings for component products; unscheduled or unauthorized changes; and changes to remediate vulnerabilities. Configuration change control elements can include such entities as committees or boards. Typical processes for managing configuration changes to systems include, for example, Configuration Control Boards or Change Advisory Boards that review and approve

 

proposed changes to systems. For new development systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards or Change Advisory Boards. Auditing of changes includes activities before and after changes are made to organizational systems and the auditing activities required to implement such changes.

Related Controls: CA-7, CM-2, CM-4, CM-5, CM-6, CM-9, CM-11, IA-3, MA-2, PE-16, SA-10,

SA-19, SC-28, SC-34, SC-37, SI-2, SI-3, SI-4, SI-7, SI-10.

Control Enhancements:

• CONFIGURATION CHANGE CONTROL | AUTOMATED DOCUMENTATION, NOTIFICATION, AND PROHIBITION OF CHANGES

Employ automated mechanisms to:

• Document proposed changes to the system;
• Notify [Assignment: organized-defined approval authorities] of proposed changes to the system and request change approval;
• Highlight proposed changes to the system that have not been approved or disapproved by [Assignment: organization-defined time-period];
• Prohibit changes to the system until designated approvals are received;
• Document all changes to the system; and
• Notify [Assignment: organization-defined personnel] when approved changes to the system are

Supplemental Guidance: None.

Related Controls: None.

• CONFIGURATION CHANGE CONTROL | TESTING, VALIDATION, AND DOCUMENTATION OF CHANGES

Test, validate, and document changes to the system before fully implementing the changes on the system.

Supplemental Guidance: Changes to systems include modifications to hardware, software, or firmware components and configuration settings defined in CM-6. Organizations ensure that testing does not interfere with system operations. Individuals or groups conducting tests understand organizational security and privacy policies and procedures, system security and privacy policies and procedures, and the health, safety, and environmental risks associated with specific facilities or processes. Operational systems may need to be taken off-line, or replicated to the extent feasible, before testing can be conducted. If systems must be taken off- line for testing, the tests are scheduled to occur during planned system outages whenever possible. If the testing cannot be conducted on operational systems, organizations employ compensating controls.

Related Controls: None.

• CONFIGURATION CHANGE CONTROL | AUTOMATED CHANGE IMPLEMENTATION

Employ automated mechanisms to implement changes to the current system baseline and deploy the updated baseline across the installed base.

Supplemental Guidance: None.

Related Controls: None.

• CONFIGURATION CHANGE CONTROL | SECURITY REPRESENTATIVE

Require an [Assignment: organization-defined information security representative] to be a member of the [Assignment: organization-defined configuration change control element].

Supplemental Guidance: Information security representatives can include, for example, Senior Agency Information Security Officers, system security officers, or system security managers. Representation by personnel with information security expertise is important because changes to 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 systems. The configuration change control element in this control enhancement reflects the change control elements defined by organizations in CM-3.

 

Related Controls: None.

• CONFIGURATION CHANGE CONTROL | AUTOMATED SECURITY RESPONSE

Implement [Assignment: organization-defined security responses] automatically if baseline configurations are changed in an unauthorized manner.

Supplemental Guidance: Security responses include, for example, halting system processing, halting selected system functions, or issuing alerts or notifications to organizational personnel when there is an unauthorized modification of a configuration item.

Related Controls: None.

• CONFIGURATION CHANGE CONTROL | CRYPTOGRAPHY MANAGEMENT

Ensure that cryptographic mechanisms used to provide [Assignment: organization-defined security safeguards] are under configuration management.

Supplemental Guidance: Regardless of the cryptographic means employed, organizations ensure that there are processes and procedures in place to manage those means. For example, if devices use certificates for identification and authentication, a process is implemented to address the expiration of those certificates.

Related Controls: SC-12.

References: NIST Special Publications 800-124, 800-128; NIST Interagency Report 8062.

 

CM-4     SECURITY AND PRIVACY IMPACT ANALYSES

Control: Analyze changes to the system to determine potential security and privacy impacts prior to change implementation.

Supplemental Guidance: Organizational personnel with security or privacy responsibilities conduct impact analyses. Individuals conducting impact analyses possess the necessary skills and technical expertise to analyze the changes to systems and the associated security or privacy ramifications.

Security and privacy impact analyses include, for example, reviewing security and privacy plans, policies, and procedures to understand security and privacy control requirements; reviewing system design documentation to understand control implementation and how specific changes might affect the controls; and determining how potential changes to a system create new risks to the privacy of individuals and the ability of implemented controls to mitigate those risks. Impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security or privacy controls are required.

Related Controls: CA-7, CM-3, CM-8, CM-9, MA-2, RA-5, SA-5, SA-10, SI-2.

Control Enhancements:

• SECURITY AND PRIVACY IMPACT ANALYSES | SEPARATE TEST ENVIRONMENTS

Analyze changes to the system in a separate test environment before implementation in an operational environment, looking for security and privacy impacts due to flaws, weaknesses, incompatibility, or intentional malice.

Supplemental Guidance: Separate 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.

Related Controls: SA-11, SC-7.

• SECURITY AND PRIVACY IMPACT ANALYSES | VERIFICATION OF SECURITY AND PRIVACY FUNCTIONS

Check the security and privacy functions after system changes, to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security and privacy requirements for the system.

Supplemental Guidance: Implementation in this context refers to installing changed code in the operational system.

 

Related Controls: SA-11, SC-3, SI-6.

References: NIST Special Publication 800-128.

 

CM-5     ACCESS RESTRICTIONS FOR CHANGE

Control: Define, document, approve, and enforce physical and logical access restrictions associated with changes to the system.

Supplemental Guidance: Any changes to the hardware, software, and/or firmware components of systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access systems for purposes of initiating changes, including upgrades and modifications. 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 (i.e., changes implemented into external interfaces rather than directly into systems), and change windows (i.e., changes occur only during specified times).

Related Controls: AC-3, AC-5, AC-6, CM-9, PE-3, SC-28, SC-34, SC-37, SI-2, SI-10.

Control Enhancements:

• ACCESS RESTRICTIONS FOR CHANGE | AUTOMATED ACCESS ENFORCEMENT AND AUDITING
  • Enforce access restrictions; and
  • Generate audit records of the enforcement

Supplemental Guidance: Organizations log access records associated with applying configuration changes to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes.

Related Controls: AU-2, AU-6, AU-7, AU-12, CM-6, CM-11, SI-12.

• ACCESS RESTRICTIONS FOR CHANGE | REVIEW SYSTEM CHANGES

Review system changes [Assignment: organization-defined frequency] and [Assignment: organization-defined circumstances] to determine whether unauthorized changes have occurred.

Supplemental Guidance: Indications that warrant review of system changes and the specific circumstances justifying such reviews may be obtained from activities carried out by organizations during the configuration change process.

Related Controls: AU-6, AU-7, CM-3.

• ACCESS RESTRICTIONS FOR CHANGE | SIGNED COMPONENTS

Prevent the installation of [Assignment: organization-defined software and firmware components] without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.

Supplemental Guidance: Software 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.

Related Controls: CM-7, SC-13, SI-7.

• ACCESS RESTRICTIONS FOR CHANGE | DUAL AUTHORIZATION

Enforce dual authorization for implementing changes to [Assignment: organization-defined system components and system-level information].

Supplemental Guidance: Organizations employ dual authorization to ensure that any changes to selected system components and information cannot occur unless two qualified individuals implement such changes. The two individuals possess sufficient skills and expertise to determine if the proposed changes are correct implementations of approved changes. Dual authorization may also be known as two-person control.

Related Controls: AC-2, AC-5, CM-3.

 

• ACCESS RESTRICTIONS FOR CHANGE | PRIVILEGE LIMITATION FOR PRODUCTION AND OPERATION
  • Limit privileges to change system components and system-related information within a production or operational environment; and
  • Review and reevaluate privileges [Assignment: organization-defined frequency].

Supplemental Guidance: In many organizations, systems support many missions and business functions. Limiting privileges to change system components with respect to operational systems is necessary because changes to a system component may have far-reaching effects on mission and business processes supported by the system. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers.

Related Controls: AC-2.

• ACCESS RESTRICTIONS FOR CHANGE | LIMIT LIBRARY PRIVILEGES

Limit privileges to change software resident within software libraries. Supplemental Guidance: Software libraries include privileged programs. Related Controls: AC-2.

• ACCESS RESTRICTIONS FOR CHANGE | AUTOMATIC IMPLEMENTATION OF SECURITY SAFEGUARDS

[Withdrawn: Incorporated into SI-7].

References: FIPS Publications 140-2, 186-4.

 

CM-6     CONFIGURATION SETTINGS

Control:

1. Establish and document configuration settings for components employed within the system using [Assignment: organization-defined common secure configurations] that reflect the most restrictive mode consistent with operational requirements;
2. Implement the configuration settings;
3. Identify, document, and approve any deviations from established configuration settings for [Assignment: organization-defined system components] based on [Assignment: organization- defined operational requirements]; and
4. Monitor and control changes to the configuration settings in accordance with organizational policies and

Supplemental Guidance: Configuration settings are the parameters that can be changed in hardware, software, or firmware components of the system that affect the security posture or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers, workstations, input/output devices, network devices, operating systems, and applications. Security-related parameters are those parameters impacting the security state of systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example, registry settings; account, file, directory permission settings; and settings for functions, ports, protocols, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific configuration settings for 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 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. Implementation of a specific common secure configuration may be mandated at the organizational or mission/business process level or may be

 

mandated at a higher level including, for example, by a regulatory agency. 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 provide an effective method to uniquely identify, track, and control configuration settings.

Related Controls: AC-3, AC-19, AU-2, AU-6, CA-9, CM-2, CM-3, CM-5, CM-7, CM-11, CP-7,

CP-9, CP-10, IA-3, IA-5, PL-8, RA-5, SA-4, SA-5, SA-9, SC-18, SC-19, SC-28, SC-43, SI-2, SI- 4, SI-6.

Control Enhancements:

• CONFIGURATION SETTINGS | AUTOMATED MANAGEMENT, APPLICATION, AND VERIFICATION

Employ automated mechanisms to centrally manage, apply, and verify configuration settings for [Assignment: organization-defined system components].

Supplemental Guidance:

Related Controls: CA-7.

• CONFIGURATION SETTINGS | RESPOND TO UNAUTHORIZED CHANGES

Employ [Assignment: organization-defined security safeguards] to respond to unauthorized changes to [Assignment: organization-defined configuration settings].

Supplemental Guidance: Responses to unauthorized changes to configuration settings can include, for example, alerting designated organizational personnel, restoring established configuration settings, or in extreme cases, halting affected system processing.

Related Controls: IR-4, IR-6, SI-7.

• CONFIGURATION SETTINGS | UNAUTHORIZED CHANGE DETECTION

[Withdrawn: Incorporated into SI-7].

• CONFIGURATION SETTINGS | CONFORMANCE DEMONSTRATION

[Withdrawn: Incorporated into CM-4].

References: NIST Special Publications 800-70, 800-126, 800-128; US Government Configuration Baselines; National Checklist Repository.

 

CM-7     LEAST FUNCTIONALITY

Control:

1. Configure the system to provide only essential capabilities; and
2. Prohibit or restrict the use of the following functions, ports, protocols, and/or services: [Assignment: organization-defined prohibited or restricted functions, ports, protocols, and/or services].

Supplemental Guidance: Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default, may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component, but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations review functions and services provided by systems or components of systems, to determine which functions and services are candidates for elimination. Organizations consider disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of devices, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, protocols, ports, and services.

Related Controls: AC-3, AC-4, CM-2, CM-5, CM-11, RA-5, SA-4, SA-5, SA-9, SA-15, SC-7, SC-

37. SI-4.

 

Control Enhancements:

• LEAST FUNCTIONALITY | PERIODIC REVIEW
  • Review the system [Assignment: organization-defined frequency] to identify unnecessary and/or nonsecure functions, ports, protocols, and services; and
  • Disable [Assignment: organization-defined functions, ports, protocols, and services within the system deemed to be unnecessary and/or nonsecure].

Supplemental Guidance: Organizations can either decide 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.

Related Controls: AC-18.

• LEAST FUNCTIONALITY | PREVENT PROGRAM EXECUTION

Prevent program execution in accordance with [Selection (one or more): [Assignment: organization-defined policies regarding software program usage and restrictions]; rules authorizing the terms and conditions of software program usage].

Supplemental Guidance: This control enhancement addresses organizational policies restricting software usage as well as the terms and conditions imposed by the developer or manufacturer including, for example, software licensing and copyrights. Restrictions include, for example, restricting the roles allowed to approve program execution; prohibiting auto-execute; program blacklisting and whitelisting; or restricting the number of program instances executed at the same time.

Related Controls: CM-8, PM-5.

• LEAST FUNCTIONALITY | REGISTRATION COMPLIANCE

Ensure compliance with [Assignment: organization-defined registration requirements for functions, ports, protocols, and services].

Supplemental Guidance: Organizations use the registration process to manage, track, and provide oversight for systems and implemented functions, ports, protocols, and services.

Related Controls: None.

• LEAST FUNCTIONALITY | UNAUTHORIZED SOFTWARE — BLACKLISTING
  • Identify [Assignment: organization-defined software programs not authorized to execute on the system];
  • Employ an allow-all, deny-by-exception policy to prohibit the execution of unauthorized software programs on the system; and
  • Review and update the list of unauthorized software programs [Assignment: organization- defined frequency].

Supplemental Guidance: The process used to identify specific software programs or entire categories of software programs that are not authorized to execute on organizational 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.

Related Controls: CM-6, CM-8, CM-10, PM-5.

• LEAST FUNCTIONALITY | AUTHORIZED SOFTWARE — WHITELISTING
  • Identify [Assignment: organization-defined software programs authorized to execute on the system];
  • Employ a deny-all, permit-by-exception policy to allow the execution of authorized software programs on the system; and
  • Review and update the list of authorized software programs [Assignment: organization- defined frequency].

Supplemental Guidance: The process used to identify specific software programs or entire categories of software programs that are authorized to execute on organizational systems is commonly referred to as whitelisting. To effect comprehensive whitelisting and increase the strength of protection for attacks that bypass application level whitelisting, software programs may be decomposed into and monitored at multiple levels of detail. Software program levels of detail include, for example, applications, application programming interfaces, application

 

modules, scripts, system processes, system services, kernel actions, registries, drivers, and dynamic link libraries. The concept of whitelisting may also be applied to user actions, ports, IP addresses, and media access control (MAC) addresses. 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.

Related Controls: CM-2, CM-6, CM-8, CM-10, PM-5, SA-10, SC-34, SI-7.

References: FIPS Publications 140-2, 180-4, 186-4, 202; NIST Special Publication 800-167.

 

CM-8     SYSTEM COMPONENT INVENTORY

Control:

1. Develop and document an inventory of system components that:
   1. Accurately reflects the current system;
   2. Includes all components within the authorization boundary of the system;
   3. Is at the level of granularity deemed necessary for tracking and reporting; and
   4. Includes [Assignment: organization-defined information deemed necessary to achieve effective system component accountability]; and
2. Review and update the system component inventory [Assignment: organization-defined frequency].

Supplemental Guidance: System components are discrete identifiable information technology assets that represent a building block of a system and include hardware, software, firmware, and virtual machines. Organizations may choose to implement centralized system component inventories that include components from all organizational systems. In such situations, organizations ensure that the inventories include system-specific information required for proper component accountability. Information necessary for effective accountability of system components includes, for example, hardware inventory specifications; software license information; software component owners; version numbers; and for networked components or devices, the machine names and network addresses. Inventory specifications include, for example, manufacturer; device type; model; serial number; and physical location.

Related Controls: CM-2, CM-7, CM-9, CM-10, CM-11, CP-2, CP-9, MA-6, PE-20, PM-5, PM-29, SA-4, SA-5, SI-2.

Control Enhancements:

• SYSTEM COMPONENT INVENTORY | UPDATES DURING INSTALLATION AND REMOVAL

Update the inventory of system components as an integral part of component installations, removals, and system updates.

Supplemental Guidance:  None.

Related Controls: None.

• SYSTEM COMPONENT INVENTORY | AUTOMATED MAINTENANCE

Employ automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of system components.

Supplemental Guidance: Organizations maintain 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 system component inventory and baseline configuration activities.

Related Controls: None.

 

• SYSTEM COMPONENT INVENTORY | AUTOMATED UNAUTHORIZED COMPONENT DETECTION
  • Employ automated mechanisms [Assignment: organization-defined frequency] to detect the presence of unauthorized hardware, software, and firmware components within the system; and
  • Take the following actions when unauthorized components are detected: [Selection (one or more): disable network access by such components; isolate the components; notify [Assignment: organization-defined personnel or roles]].

Supplemental Guidance: This 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 systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing.

Related Controls: AC-19, CA-7, RA-5, SI-3, SI-4, SI-7.

• SYSTEM COMPONENT INVENTORY | ACCOUNTABILITY INFORMATION

Includes in the system component inventory information, a means for identifying by [Selection (one or more): name; position; role], individuals responsible and accountable for administering those components.

Supplemental Guidance: Identifying individuals who are both responsible and accountable for administering system components helps to ensure that the assigned components are properly administered and organizations can contact those individuals if some action is required, for example, the component is determined to be the source of a breach; the component needs to be recalled or replaced; or the component needs to be relocated.

Related Controls: None.

• SYSTEM COMPONENT INVENTORY | NO DUPLICATE ACCOUNTING OF COMPONENTS
  • Verify that all components within the authorization boundary of the system are not duplicated in other system component inventories; or
  • If a centralized component inventory is used, verify components are not assigned to multiple systems.

Supplemental Guidance: This control enhancement addresses the potential problem of duplicate accounting of system components in large or complex interconnected systems.

Related Controls: None.

• SYSTEM COMPONENT INVENTORY | ASSESSED CONFIGURATIONS AND APPROVED DEVIATIONS

Include assessed component configurations and any approved deviations to current deployed configurations in the system component inventory.

Supplemental Guidance: This control enhancement focuses on configuration settings established by organizations for 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.

Related Controls: None.

• SYSTEM COMPONENT INVENTORY | CENTRALIZED REPOSITORY

Provide a centralized repository for the inventory of system components.

Supplemental Guidance: Organizations may choose to implement centralized system component inventories that include components from all organizational systems. Centralized repositories of 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.

Related Controls: None.

 

• SYSTEM COMPONENT INVENTORY | AUTOMATED LOCATION TRACKING

Employ automated mechanisms to support tracking of system components by geographic location.

Supplemental Guidance: The use of automated mechanisms to track the location of 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.

Related Controls: None.

• SYSTEM COMPONENT INVENTORY | ASSIGNMENT OF COMPONENTS TO SYSTEMS
  • Assign [Assignment: organization-defined acquired system components] to a system; and
  • Receive an acknowledgement from [Assignment: organization-defined personnel or roles] of this

Supplemental Guidance: Organizations determine the types of system components that are subject to this control enhancement.

Related Controls: None.

• SYSTEM COMPONENT INVENTORY | DATA ACTION MAPPING

Develop and document a system map of data actions that process personally identifiable information.

Supplemental Guidance: Data actions are system operations that process personally identifiable information. Such processing encompasses the full information life cycle which includes collection, generation, transformation, use, disclosure, retention, disposal. Creating a system map of data actions supports a privacy risk assessment. The development of this map may necessitate coordination between the privacy and security programs regarding the covered data actions, the system components, and the definition of the authorization boundary.

Related Controls: PM-30, CM-4.

References: NIST Special Publications 800-57-1, 800-57-2, 800-57-3, 800-128; NIST Interagency

Report 8062.

 

CM-9     CONFIGURATION MANAGEMENT PLAN

Control: Develop, document, and implement a configuration management plan for the system that:

1. Addresses roles, responsibilities, and configuration management processes and procedures;
2. Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;
3. Defines the configuration items for the system and places the configuration items under configuration management;
4. Is reviewed and approved by [Assignment: organization-defined personnel or roles]; and
5. Protects the configuration management plan from unauthorized disclosure and

Supplemental Guidance: Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual systems. Such plans define processes and procedures for how configuration management is used to support system development life cycle activities. Configuration management plans are typically developed during the development and 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 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 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 systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the system components (i.e., hardware, software, firmware, and documentation) to be configuration- managed. As 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.

Related Controls: CM-2, CM-3, CM-4, CM-5, CM-8, PL-2, SA-10, SI-12.

Control Enhancements:

(1) CONFIGURATION MANAGEMENT PLAN | ASSIGNMENT OF RESPONSIBILITY

Assign responsibility for developing the configuration management process to organizational personnel that are not directly involved in system development.

Supplemental Guidance: In 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 system development and integration processes and configuration management processes to facilitate quality control and more effective oversight.

Related Controls: None.

References: NIST Special Publication 800-128.

 

CM-10 SOFTWARE USAGE RESTRICTIONS

Control:

1. Use software and associated documentation in accordance with contract agreements and copyright laws;
2. Track the use of software and associated documentation protected by quantity licenses to control copying and distribution; and
3. Control and document 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.

Supplemental Guidance: Software license tracking can be accomplished by manual methods or automated methods depending on organizational needs.

Related Controls: AC-17, AU-6, CM-7, CM-8, SC-7.

Control Enhancements:

(1) SOFTWARE USAGE RESTRICTIONS | OPEN SOURCE SOFTWARE

Establish the following restrictions on the use of open source software: [Assignment: organization-defined restrictions].

Supplemental Guidance: Open 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.

Related Controls: SI-7.

References: None.

CM-11 USER-INSTALLED SOFTWARE

Control:

1. Establish [Assignment: organization-defined policies] governing the installation of software by users;
2. Enforce software installation policies through the following methods: [Assignment: organization-defined methods]; and
3. Monitor policy compliance at [Assignment: organization-defined frequency].

Supplemental Guidance: If provided the necessary privileges, users have the ability to install software in organizational 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, automated methods, or both.

Related Controls: AC-3, AU-6, CM-2, CM-3, CM-5, CM-6, CM-7, CM-8, PL-4, SI-7.

Control Enhancements:

• USER-INSTALLED SOFTWARE | ALERTS FOR UNAUTHORIZED INSTALLATIONS

[Withdrawn: Incorporated into CM-8(3)].

• SOFTWARE INSTALLATION WITH PRIVILEGED STATUS

Allow user installation of software only with explicit privileged status.

Supplemental Guidance: Privileged status can be obtained, for example, by serving in the role of system administrator.

Related Controls: AC-5, AC-6.

References: None.

 

CM-12 INFORMATION LOCATION

Control:

1. Identify the location of [Assignment: organization-defined information] and the specific system components on which the information resides;
2. Identify and document the users who have access to the system and system components where the information resides; and
3. Document changes to the location (i.e., system or system components) where the information resides.

Supplemental Guidance: This control addresses the need to understand where information is being processed and stored and is typically applied with respect to Controlled Unclassified Information (CUI). The National Archives and Records Administration defines the types of information that are categorized as CUI. Information location includes identifying where specific information types and associated information reside in the system components that compose organizational systems; and how information is being processed so that information flow can be understood and adequate protection and policy management provided for such information and system components.

Related Controls: AC-3, AC-4, AC-6, AC-23, CM-8, PM-29, SC-4, SC-16, SC-28, SI-4, SI-7.

 

Control Enhancements:

(1) INFORMATION LOCATION | AUTOMATED TOOLS TO SUPPORT INFORMATION LOCATION

Use automated tools to identify [Assignment: organization-defined information by information type] on [Assignment: organization-defined system components] to ensure adequate security and privacy controls are in place to protect organizational information and individual privacy.

Supplemental Guidance: This control enhancement gives organizations the capability to check systems and selected system components for types of information to confirm such information resides on the component and to ensure that the required protection measures are in place for that component.

Related Controls: None.

References: FIPS Publication 199; NIST Special Publication 800-60-1, 800-60-2.

 

3.1     CONTINGENCY PLANNING

 

Quick link to Contingency Planning summary table

 

CP-1      CONTINGENCY PLANNING POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A contingency planning policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the contingency planning policy and the associated contingency planning controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the contingency planning policy and procedures;
3. Review and update the current contingency planning:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the contingency planning procedures implement the contingency planning policy and controls; and
5. Develop, document, and implement remediation actions for violations of the contingency planning

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the CP family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-34, 800-39, 800-100.

 

CP-2      CONTINGENCY PLAN

Control:

1. Develop a contingency plan for the system that:
   1. Identifies essential missions and business functions and associated contingency requirements;

 

2. Provides recovery objectives, restoration priorities, and metrics;
3. Addresses contingency roles, responsibilities, assigned individuals with contact information;
4. Addresses maintaining essential missions and business functions despite a system disruption, compromise, or failure;
5. Addresses eventual, full system restoration without deterioration of the security and privacy controls originally planned and implemented; and
6. Is reviewed and approved by [Assignment: organization-defined personnel or roles];

1. Distributes copies of the contingency plan to [Assignment: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements];
2. Coordinates contingency planning activities with incident handling activities;
3. Reviews the contingency plan for the system [Assignment: organization-defined frequency];
4. Updates the contingency plan to address changes to the organization, system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;
5. Communicates contingency plan changes to [Assignment: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements]; and
6. Protects the contingency plan from unauthorized disclosure and

Supplemental Guidance: Contingency planning for systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses system restoration and implementation of alternative mission or business processes when systems are compromised or breached. The effectiveness of contingency planning is maximized by considering such planning throughout the system development life cycle.

Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving system resiliency. Contingency plans reflect the degree of restoration required for organizational systems since not all systems need to fully recover to achieve the level of continuity of operations desired. System recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to availability, contingency plans address other security-related events resulting in a reduction in mission or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of systems. Actions addressed in contingency plans include, for example, orderly and graceful degradation, system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By coordinating contingency planning with incident handling activities, organizations can ensure that the necessary planning activities are in place and activated in the event of a security incident.

Related Controls: CP-3, CP-4, CP-6, CP-7, CP-8, CP-9, CP-10, CP-11, CP-13, IR-4, IR-6, IR-8, IR-

9, MA-6, MP-2, MP-4, MP-5, PL-2, PM-8, PM-11, SA-15, SA-20, SC-7, SC-23, SI-12.

Control Enhancements:

• CONTINGENCY PLAN | COORDINATE WITH RELATED PLANS

Coordinate contingency plan development with organizational elements responsible for related plans.

Supplemental Guidance: Plans related to contingency plans for organizational 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.

Related Controls: None.

 

• CONTINGENCY PLAN | CAPACITY PLANNING

Conduct capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.

Supplemental Guidance: Capacity planning is needed because different types of threats can result in a reduction of the available processing, telecommunications, and support services intended to support the organizational missions and business functions. Organizations need to anticipate degraded operations during contingency operations and factor such degradation into capacity planning. With respect to capacity planning, environmental support refers to any environmental support factor for which the organization determines that it needs to provide support in a contingency situation, even if in a degraded state. As always, such determinations are based on an assessment of risk, system categorization (impact level), and organizational risk tolerance.

Related Controls: PE-11, PE-12, PE-13, PE-14, PE-18, SC-5.

• CONTINGENCY PLAN | RESUME ESSENTIAL MISSIONS AND BUSINESS FUNCTIONS

Plan for the resumption of essential missions and business functions within [Assignment: organization-defined time-period] of contingency plan activation.

Supplemental Guidance: Organizations 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 and business functions may be dependent on the severity and extent of the disruptions to the system and its supporting infrastructure.

Related Controls: None.

• CONTINGENCY PLAN | RESUME ALL MISSIONS AND BUSINESS FUNCTIONS

Plan for the resumption of all missions and business functions within [Assignment: organization- defined time-period] of contingency plan activation.

Supplemental Guidance: Organizations 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 missions and business functions may be dependent on the severity and extent of disruptions to the system and its supporting infrastructure.

Related Controls: None.

• CONTINGENCY PLAN | CONTINUE ESSENTIAL MISSIONS AND BUSINESS FUNCTIONS

Plan for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full system restoration at primary processing and/or storage sites.

Supplemental Guidance: Organizations 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.

Related Controls: None.

• CONTINGENCY PLAN | ALTERNATE PROCESSING AND STORAGE SITE

Plan 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 sustain that continuity through system restoration to primary processing and/or storage sites.

Supplemental Guidance: Organizations 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.

Related Controls: None.

 

• CONTINGENCY PLAN | COORDINATE WITH EXTERNAL SERVICE PROVIDERS

Coordinate the contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.

Supplemental Guidance: When the capability of an organization to successfully carry out its core missions and 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.

Related Controls: SA-9.

• CONTINGENCY PLAN | IDENTIFY CRITICAL ASSETS

Identify critical system assets supporting essential missions and business functions.

Supplemental Guidance: Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational criticality analysis or business continuity planning including, for example, as part of business impact analyses. Organizations identify critical system assets so additional safeguards and countermeasures can be employed (beyond those safeguards and countermeasures routinely implemented) to help ensure that organizational missions/business functions can continue to be conducted during contingency operations. The identification of critical information assets also facilitates the prioritization of organizational resources. Critical system assets include both technical and operational aspects. Technical aspects include, for example, information technology services, 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 aid in identifying critical assets.

Related Controls: CM-8, RA-9.

References: NIST Special Publication 800-34; NIST Interagency Report 8179.

 

CP-3      CONTINGENCY TRAINING

Control: Provide contingency training to system users consistent with assigned roles and responsibilities:

1. Within [Assignment: organization-defined time-period] of assuming a contingency role or responsibility;
2. When required by system changes; and
3. [Assignment: organization-defined frequency]

Supplemental Guidance: Contingency 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 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.

Related Controls: AT-2, AT-3, AT-4, CP-2, CP-4, CP-8, IR-2, IR-4, IR-9.

Control Enhancements:

• CONTINGENCY TRAINING | SIMULATED EVENTS

Incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.

Supplemental Guidance: None.

 

Related Controls: None.

• CONTINGENCY TRAINING | AUTOMATED TRAINING ENVIRONMENTS

Employ automated mechanisms to provide a more thorough and realistic contingency training environment.

Supplemental Guidance: None.

Related Controls: None.

References: NIST Special Publication 800-50.

 

CP-4      CONTINGENCY PLAN TESTING

Control:

1. Test the contingency plan for the system [Assignment: organization-defined frequency] using [Assignment: organization-defined tests] to determine the effectiveness of the plan and the organizational readiness to execute the plan;
2. Review the contingency plan test results; and
3. Initiate corrective actions, if

Supplemental Guidance: Methods 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.

Related Controls: AT-3, CP-2, CP-3, CP-8, CP-9, IR-3, IR-4, PL-2, PM-14.

Control Enhancements:

• CONTINGENCY PLAN TESTING | COORDINATE WITH RELATED PLANS

Coordinate contingency plan testing with organizational elements responsible for related plans.

Supplemental Guidance: Plans related to contingency plans for organizational 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.

Related Controls: IR-8, PM-8.

• CONTINGENCY PLAN TESTING | ALTERNATE PROCESSING SITE

Test the contingency plan at the alternate processing site:

• To familiarize contingency personnel with the facility and available resources; and
• To evaluate the capabilities of the alternate processing site to support contingency operations.

Supplemental Guidance: None.

Related Controls: CP-7.

• CONTINGENCY PLAN TESTING | AUTOMATED TESTING

Employ automated mechanisms to more thoroughly and effectively test the contingency plan.

Supplemental Guidance: Automated mechanisms facilitate more thorough and effective testing of contingency plans. This occurs by providing more complete coverage of contingency issues; by selecting more realistic test scenarios and environments; and by effectively stressing the system and supported missions and business operations.

Related Controls: None.

 

• CONTINGENCY PLAN TESTING | FULL RECOVERY AND RECONSTITUTION

Include a full recovery and reconstitution of the system to a known state as part of contingency plan testing.

Supplemental Guidance: None.

Related Controls: CP-10, SC-24.

References: FIPS Publication 199; NIST Special Publications 800-34, 800-84.

 

CP-5      CONTINGENCY PLAN UPDATE

[Withdrawn: Incorporated into CP-2].

 

CP-6      ALTERNATE STORAGE SITE

Control:

1. Establish an alternate storage site including necessary agreements to permit the storage and retrieval of system backup information; and
2. Ensure that the alternate storage site provides security controls equivalent to that of the primary

Supplemental Guidance: Alternate storage sites are sites that are geographically distinct from primary storage sites. An alternate storage site maintains duplicate copies of information and data if 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 and business functions despite disruption, compromise, or failure in organizational systems.

Related Controls: CP-2, CP-7, CP-8, CP-9, CP-10, MP-4, MP-5, PE-3, SC-36, SI-13.

Control Enhancements:

• ALTERNATE STORAGE SITE | SEPARATION FROM PRIMARY SITE

Identify an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.

Supplemental Guidance: Threats that affect alternate storage sites are defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile attacks, and errors of omission or 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 threats such as hostile attacks, the degree of separation between sites is less relevant.

Related Controls: RA-3.

• ALTERNATE STORAGE SITE | RECOVERY TIME AND RECOVERY POINT OBJECTIVES

Configure the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.

Supplemental Guidance: None.

Related Controls: None.

• ALTERNATE STORAGE SITE | ACCESSIBILITY

Identify potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.

Supplemental Guidance: Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include, for example, duplicating backup information at other alternate storage sites if access problems occur at originally designated

 

alternate sites; or planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.

Related Controls: RA-3.

References: NIST Special Publication 800-34.

 

CP-7      ALTERNATE PROCESSING SITE

Control:

1. Establish an alternate processing site including necessary agreements to permit the transfer and resumption of [Assignment: organization-defined system operations] for essential missions and business functions within [Assignment: organization-defined time-period consistent with recovery time and recovery point objectives] when the primary processing capabilities are unavailable;
2. Make available at the alternate processing site, the equipment and supplies required to transfer and resume operations or put contracts in place to support delivery to the site within the organization-defined time-period for transfer and resumption; and
3. Provide information security and privacy safeguards at the alternate processing site that are equivalent to those at the primary

Supplemental Guidance: Alternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability if the primary processing site is not available. Geographically distributed architectures may also be considered as alternate processing sites. Safeguards that are covered by alternate processing site agreements include, for example, environmental conditions at alternate sites; access rules; physical and environmental protection requirements; and the coordination for the transfer and assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions and business functions despite disruption, compromise, or failure in organizational systems.

Related Controls: CP-2, CP-6, CP-8, CP-9, CP-10, MA-6, PE-3, PE-11, PE-12, PE-17, SC-36, SI- 13.

Control Enhancements:

• ALTERNATE PROCESSING SITE | SEPARATION FROM PRIMARY SITE

Identify an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats.

Supplemental Guidance: Threats that affect alternate processing sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For threats such as hostile attacks, the degree of separation between sites is less relevant.

Related Controls: RA-3.

• ALTERNATE PROCESSING SITE | ACCESSIBILITY

Identify potential accessibility problems to the alternate processing site in the event of an area- wide disruption or disaster and outlines explicit mitigation actions.

Supplemental Guidance: Area-wide disruptions refer to those types of disruptions that are broad in geographic scope with such determinations made by organizations based on organizational assessments of risk.

Related Controls: RA-3.

• ALTERNATE PROCESSING SITE | PRIORITY OF SERVICE

Develop alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives).

 

Supplemental Guidance: Priority-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.

Related Controls: None.

• ALTERNATE PROCESSING SITE | PREPARATION FOR USE

Prepare the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.

Supplemental Guidance: Site preparation includes, for example, establishing configuration settings for 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.

Related Controls: CM-2, CM-6, CP-4.

• ALTERNATE PROCESSING SITE | EQUIVALENT INFORMATION SECURITY SAFEGUARDS

[Withdrawn: Incorporated into CP-7].

• ALTERNATE PROCESSING SITE | INABILITY TO RETURN TO PRIMARY SITE

Plan and prepare for circumstances that preclude returning to the primary processing site.

Supplemental Guidance: None.

Related Controls: None.

References: NIST Special Publication 800-34.

 

CP-8      TELECOMMUNICATIONS SERVICES

Control: Establish alternate telecommunications services including necessary agreements to permit the resumption of [Assignment: organization-defined system operations] for essential missions and business functions within [Assignment: organization-defined time-period] when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.

Supplemental Guidance: This 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 and 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 alternate telecommunications agreements.

Related Controls: CP-2, CP-6, CP-7, CP-11, SC-7.

Control Enhancements:

• TELECOMMUNICATIONS SERVICES | PRIORITY OF SERVICE PROVISIONS
  • Develop primary and alternate telecommunications service agreements that contain priority- of-service provisions in accordance with organizational availability requirements (including recovery time objectives); and
  • Request Telecommunications Service Priority for all telecommunications services used for national security emergency preparedness if the primary and/or alternate telecommunications services are provided by a common

Supplemental Guidance: Organizations consider the potential mission/business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions.

Related Controls: None.

 

• TELECOMMUNICATIONS SERVICES | SINGLE POINTS OF FAILURE

Obtain alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.

Supplemental Guidance: None.

Related Controls: None.

• TELECOMMUNICATIONS SERVICES | SEPARATION OF PRIMARY AND ALTERNATE PROVIDERS

Obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.

Supplemental Guidance: Threats 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.

Related Controls: None.

• TELECOMMUNICATIONS SERVICES | PROVIDER CONTINGENCY PLAN
  • Require primary and alternate telecommunications service providers to have contingency plans;
  • Review provider contingency plans to ensure that the plans meet organizational contingency requirements; and
  • Obtain evidence of contingency testing and training by providers [Assignment: organization- defined frequency].

Supplemental Guidance: Reviews 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.

Related Controls: CP-3, CP-4.

• TELECOMMUNICATIONS SERVICES | ALTERNATE TELECOMMUNICATION SERVICE TESTING

Test alternate telecommunication services [Assignment: organization-defined frequency].

Supplemental Guidance: CP-3.

Related Controls: None.

References: NIST Special Publication 800-34.

 

CP-9      SYSTEM BACKUP

Control:

1. Conduct backups of user-level information contained in the system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
2. Conduct backups of system-level information contained in the system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
3. Conduct backups of system documentation including security-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and
4. Protect the confidentiality, integrity, and availability of backup information at storage locations.

 

Supplemental Guidance: System-level information includes, for example, system-state information, operating system software, application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed to protect the integrity of system backups include, for example, digital signatures and cryptographic hashes. Protection of backup information while in transit is beyond the scope of this control. System backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.

Related Controls: CP-2, CP-6, CP-10, MP-4, MP-5, SC-13, SI-4, SI-13.

Control Enhancements:

• SYSTEM BACKUP | TESTING FOR RELIABILITY AND INTEGRITY

Test backup information [Assignment: organization-defined frequency] to verify media reliability and information integrity.

Supplemental Guidance: None.

Related Controls: CP-4.

• SYSTEM BACKUP | TEST RESTORATION USING SAMPLING

Use a sample of backup information in the restoration of selected system functions as part of contingency plan testing.

Supplemental Guidance:

Related Controls: CP-4.

• SYSTEM BACKUP | SEPARATE STORAGE FOR CRITICAL INFORMATION

Store backup copies of [Assignment: organization-defined critical 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.

Supplemental Guidance: Critical 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.

Related Controls: CM-2, CM-6, CM-8.

• SYSTEM BACKUP | PROTECTION FROM UNAUTHORIZED MODIFICATION

[Withdrawn: Incorporated into CP-9].

• SYSTEM BACKUP | TRANSFER TO ALTERNATE STORAGE SITE

Transfer system backup information to the alternate storage site [Assignment: organization- defined time-period and transfer rate consistent with the recovery time and recovery point objectives].

Supplemental Guidance: System backup information can be transferred to alternate storage sites either electronically or by physical shipment of storage media.

Related Controls: CP-7, MP-3, MP-4, MP-5.

• SYSTEM BACKUP | REDUNDANT SECONDARY SYSTEM

Conduct 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.

Supplemental Guidance:

Related Controls: CP-7.

• SYSTEM BACKUP | DUAL AUTHORIZATION

Enforce dual authorization for the deletion or destruction of [Assignment: organization-defined backup information].

Supplemental Guidance: Dual 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.

Related Controls: AC-3, AC-5, MP-2.

• SYSTEM BACKUP | CRYPTOGRAPHIC PROTECTION

Implement cryptographic mechanisms to prevent unauthorized disclosure and modification of [Assignment: organization-defined backup information].

Supplemental Guidance: The selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of backup information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to system backup information in storage at primary and alternate locations. Organizations implementing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.

Related Controls: SC-12, SC-13, SC-28.

References: FIPS Publications 140-2, 186-4; NIST Special Publications 800-34, 800-130, 800-152.

 

CP-10 SYSTEM RECOVERY AND RECONSTITUTION

Control: Provide for the recovery and reconstitution of the system to a known state after a disruption, compromise, or failure within [Assignment: organization-defined time-period consistent with recovery time and recovery point objectives].

Supplemental Guidance: Recovery is executing contingency plan activities to restore organizational missions and business functions. Reconstitution takes place following recovery and includes activities for returning 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 system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored system capabilities, reestablishment of continuous monitoring activities, system reauthorizations (if required), and activities to prepare the systems against future disruptions, compromises, or failures. Recovery and reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.

Related Controls: CP-2, CP-4, CP-6, CP-7, CP-9, IR-4, SC-24, SI-13.

Control Enhancements:

• SYSTEM RECOVERY AND RECONSTITUTION | CONTINGENCY PLAN TESTING

[Withdrawn: Incorporated into CP-4].

• SYSTEM RECOVERY AND RECONSTITUTION | TRANSACTION RECOVERY

Implement transaction recovery for systems that are transaction-based.

Supplemental Guidance:  Transaction-based systems include, for example, database management systems and transaction processing systems. Mechanisms supporting transaction recovery include, for example, transaction rollback and transaction journaling.

Related Controls: None.

• SYSTEM RECOVERY AND RECONSTITUTION | COMPENSATING SECURITY CONTROLS

[Withdrawn: Addressed through tailoring procedures].

• SYSTEM RECOVERY AND RECONSTITUTION | RESTORE WITHIN TIME-PERIOD

Provide the capability to restore system components within [Assignment: organization-defined restoration time-periods] from configuration-controlled and integrity-protected information representing a known, operational state for the components.

Supplemental Guidance: Restoration of system components includes, for example, reimaging which restores components to known, operational states.

Related Controls: CM-2, CM-6.

 

• SYSTEM RECOVERY AND RECONSTITUTION | FAILOVER CAPABILITY

[Withdrawn: Incorporated into SI-13].

• SYSTEM RECOVERY AND RECONSTITUTION | COMPONENT PROTECTION

Protect system components used for backup and restoration.

Supplemental Guidance: Protection of system backup and restoration components (hardware, firmware, and software) includes both physical and technical safeguards. Backup and restoration software includes, for example, router tables, compilers, and other security- relevant system software.

Related Controls: AC-3, AC-6, MP-2, MP-4, PE-3, PE-6.

References: NIST Special Publication 800-34.

 

CP-11 ALTERNATE COMMUNICATIONS PROTOCOLS

Control: Provide the capability to employ [Assignment: organization-defined alternative communications protocols] in support of maintaining continuity of operations.

Supplemental Guidance: Contingency plans and the training/testing associated with those plans, incorporate an alternate communications protocol capability as part of establishing resilience in organizational systems. Alternate communications protocols include, for example, switching from TCP/IP Version 4 to TCP/IP Version 6. Switching communications protocols may affect software applications and operational aspects of systems. Organizations assess the potential side effects of introducing such alternate communications protocols prior to implementation.

Related Controls: CP-2, CP-8, CP-13.

Control Enhancements: None.

References: None.

 

CP-12 SAFE MODE

Control: When [Assignment: organization-defined conditions] are detected, enter a safe mode of operation with [Assignment: organization-defined restrictions of safe mode of operation].

Supplemental Guidance: For systems supporting critical missions and 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 can 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 activities or operations systems can execute when those conditions are encountered.

Restriction includes, for example, allowing only certain functions that can be carried out under limited power or with reduced communications bandwidth.

Related Controls: CM-2, SC-24, SI-13, SI-17.

Control Enhancements: None.

References: None.

 

CP-13 ALTERNATIVE SECURITY MECHANISMS

Control: Employ [Assignment: organization-defined alternative or supplemental security mechanisms] for satisfying [Assignment: organization-defined security functions] when the primary means of implementing the security function is unavailable or compromised.

Supplemental Guidance: This control supports system resiliency, contingency planning, and continuity of operations. To ensure mission and business continuity, organizations can implement alternative or supplemental security mechanisms. These mechanisms may be less effective than the primary mechanisms. However, having the capability to readily employ these alternative or

 

supplemental mechanisms, enhances mission and business continuity that might otherwise be adversely impacted if 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 is typically applied only to critical security capabilities provided by systems, system components, or system services. For example, an organization may issue to senior executives and system administrators one-time pads if multifactor tokens, the standard means for secure remote authentication, is compromised.

Related Controls: CP-2 CP-11, SI-13.

Control Enhancements: None.

References: None.

 

3.2     IDENTIFICATION AND AUTHENTICATION

 

Quick link to Identification and Authentication summary table

 

IA-1       IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. An identification and authentication policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the identification and authentication policy and the associated identification and authentication controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the identification and authentication policy and procedures;
3. Review and update the current identification and authentication:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the identification and authentication procedures implement the identification and authentication policy and controls; and
5. Develop, document, and implement remediation actions for violations of the identification and authentication

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the IA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: AC-1, PM-9, PS-8, SI-12.

Control Enhancements: None.

References: FIPS Publication 201; NIST Special Publications 800-12, 800-30, 800-39, 800-63,

800-73, 800-76, 800-78, 800-100; NIST Interagency Report 7874.

 

IA-2       IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)

Control: Uniquely identify and authenticate organizational users or processes acting on behalf of organizational users.

 

Supplemental Guidance: Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive

12. Organizational users include employees or individuals that organizations consider having the equivalent status of employees including, for example, contractors and guest researchers. This control applies to all accesses other than accesses that are explicitly identified in AC-14 and that occur through the authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts or for detailed accountability of individual activity. Organizations employ passwords, physical authenticators, or biometrics to authenticate user identities, or in the case of multifactor authentication, some combination thereof. Access to organizational systems is defined as either local access or network access. Local access is any access to organizational systems by users or processes acting on behalf of users, where such access is obtained through direct connections without the use of networks. Network access is access to organizational 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. Internal networks include local area networks and wide area networks. The use of encrypted virtual private networks for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks with respect to protecting the confidentiality and integrity of information traversing the network. Identification and authentication requirements for non-organizational users are described in IA-8.

Related Controls: AC-2, AC-3, AC-4, AC-14, AC-17, AC-18, AU-1, AU-6, IA-4, IA-5, IA-8, MA- 4, MA-5, PE-2, PL-4, SA-4.

Control Enhancements:

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | MULTIFACTOR AUTHENTICATION TO PRIVILEGED ACCOUNTS

Implement multifactor authentication for access to privileged accounts.

Supplemental Guidance: Multifactor authentication requires the use of two or more different factors to achieve authentication. Factors are defined as follows: something you know, for example, a password or personal identification number (PIN); something you have, for example, a physical authenticator or cryptographic identification device; or something you are, for example, a biometric. Multifactor solutions that feature physical authenticators include, for example, hardware authenticators providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card or the DoD common access card. In addition to authenticating users at the system level (i.e., at logon), organizations may also employ authentication mechanisms at the application level, at their discretion, to provide increased information security. Regardless of the type of access (i.e., local, network, or remote) privileged accounts are always authenticated using multifactor options appropriate for the level of risk. Organizations can add additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.

Related Controls: AC-5, AC-6.

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | MULTIFACTOR AUTHENTICATION TO NON-PRIVILEGED ACCOUNTS

Implement multifactor authentication for access to non-privileged accounts.

Supplemental Guidance: Multifactor authentication requires the use of two or more different factors to achieve authentication. Factors are defined as follows: something you know, for example, a personal identification number (PIN); something you have, for example, a physical authenticator or cryptographic private key stored in hardware or software; or something you are, for example, a biometric. Multifactor solutions that feature physical authenticators include, for example, hardware authenticators providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card or the DoD common access card. In addition to authenticating users at the system level, organizations may also employ authentication mechanisms at the application level, at their

 

discretion, to provide increased information security. Organizations can also provide additional security measures, such as additional or more rigorous authentication mechanisms, for specific types of access.

Related Controls: AC-5.

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | LOCAL ACCESS TO PRIVILEGED ACCOUNTS

[Withdrawn: Incorporated into IA-2(1)(2)].

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | LOCAL ACCESS TO NON-PRIVILEGED ACCOUNTS

[Withdrawn: Incorporated into IA-2(1)(2)].

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | INDIVIDUAL AUTHENTICATION WITH GROUP AUTHENTICATION

When shared accounts or authenticators are employed, require users to be individually authenticated before granting access to the shared accounts or resources.

Supplemental Guidance: Individual authentication prior to the shared group authentication helps organizations to mitigate the risk of using group accounts or authenticators.

Related Controls: None.

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | NETWORK ACCESS TO PRIVILEGED ACCOUNTS — SEPARATE DEVICE

[Withdrawn: Incorporated into IA-2(1)(2)].

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | NETWORK ACCESS TO NON-

PRIVILEGED ACCOUNTS — SEPARATE DEVICE

[Withdrawn: Incorporated into IA-2(1)(2)].

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | ACCESS TO ACCOUNTS – REPLAY RESISTANT

Implement replay-resistant authentication mechanisms for access to [Selection (one or more): privileged accounts; non-privileged accounts].

Supplemental Guidance: Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay- resistant techniques include, for example, protocols that use nonces or challenges such as time synchronous or challenge-response one-time authenticators.

Related Controls: None.

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | NETWORK ACCESS TO NON-

PRIVILEGED ACCOUNTS — REPLAY RESISTANT

[Withdrawn: Incorporated into IA-2(8)].

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | SINGLE SIGN-ON

Provide a single sign-on capability for [Assignment: organization-defined system accounts and services].

Supplemental Guidance: Single sign-on enables users to log in once and gain access to multiple system resources. Organizations consider the operational efficiencies provided by single sign- on capabilities with the risk introduced by allowing access to multiple systems via a single authentication event. Single sign-on can present opportunities to improve system security, for example by providing the ability to add multifactor authentication for applications that may not be able to natively support this function. This situation may occur in legacy applications or systems.

Related Controls: None.

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | REMOTE ACCESS — SEPARATE DEVICE

[Withdrawn: Incorporated into IA-2(1)(2)].

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | ACCEPTANCE OF PIV CREDENTIALS

Accept and electronically verify Personal Identity Verification credentials.

 

Supplemental Guidance: This control enhancement applies to organizations implementing logical access control and physical access control systems. Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. The adequacy and reliability of PIV card issuers are addressed and authorized using NIST Special Publication 800-79. Acceptance of PIV credentials includes derived PIV credentials, the use of which is addressed in NIST Special Publication 800-166.

Related Controls: None.

• IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS) | OUT-OF-BAND AUTHENTICATION

[Withdrawn: Incorporated into IA-2(1)(2)].

References: FIPS Publications 140-2, 201, 202; NIST Special Publications 800-63, 800-73, 800-

76, 800-78, 800-79, 800-156, 800-166; NIST Interagency Reports 7539, 7676, 7817, 7849, 7870,

7874, 7966.

 

IA-3       DEVICE IDENTIFICATION AND AUTHENTICATION

Control: Uniquely identify and authenticate [Assignment: organization-defined specific and/or types of devices] before establishing a [Selection (one or more): local; remote; network] connection.

Supplemental Guidance: Devices requiring unique device-to-device identification and authentication are defined by type, by device, or by a combination of type and device. Organization-defined device types may include devices that are not owned by the organization. Systems use 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 and authenticate devices on local and wide area networks. Organizations determine the required strength of authentication mechanisms based on the security categories of systems and mission/business requirements.

Because of the challenges of implementing this control on large scale, organizations can restrict the application of the control to a limited number (and type) of devices based on organizational need.

Related Controls: AC-17, AC-18, AC-19, AU-6, CA-3, CA-9, IA-4, IA-5, IA-9, IA-11, SI-4.

Control Enhancements:

• DEVICE IDENTIFICATION AND AUTHENTICATION | CRYPTOGRAPHIC BIDIRECTIONAL AUTHENTICATION

Authenticate [Assignment: organization-defined specific devices and/or types of devices] before establishing [Selection (one or more): local; remote; network] connection using bidirectional authentication that is cryptographically based.

Supplemental Guidance: A 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. A remote connection is any connection with a device communicating through an external network. Bidirectional authentication provides stronger safeguards to validate the identity of other devices for connections that are of greater risk.

Related Controls: SC-8, SC-12, SC-13.

• DEVICE IDENTIFICATION AND AUTHENTICATION | CRYPTOGRAPHIC BIDIRECTIONAL NETWORK AUTHENTICATION

[Withdrawn: Incorporated into IA-3(1)].

• DEVICE IDENTIFICATION AND AUTHENTICATION | DYNAMIC ADDRESS ALLOCATION
  • Where addresses are allocated dynamically, standardize dynamic address allocation lease information and the lease duration assigned to devices in accordance with [Assignment: organization-defined lease information and lease duration]; and
  • Audit lease information when assigned to a

 

Supplemental Guidance: DHCP and DHCPv6 are typical protocols that enable clients to dynamically obtain Internet Protocol address leases from DHCP servers.

Related Controls: None.

• DEVICE IDENTIFICATION AND AUTHENTICATION | DEVICE ATTESTATION

Handle device identification and authentication based on attestation by [Assignment: organization- defined configuration management process].

Supplemental Guidance: Device 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 patches and updates are done securely and at the same time do not disrupt the identification and authentication to other devices.

Related Controls: CM-2, CM-3, CM-6.

References: None.

 

IA-4       IDENTIFIER MANAGEMENT

Control: Manage system identifiers by:

1. Receiving authorization from [Assignment: organization-defined personnel or roles] to assign an individual, group, role, or device identifier;
2. Selecting an identifier that identifies an individual, group, role, or device;
3. Assigning the identifier to the intended individual, group, role, or device; and
4. Preventing reuse of identifiers for [Assignment: organization-defined time-period].

Supplemental Guidance: Common device identifiers include, for example, media access control (MAC), Internet Protocol addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared system accounts. Typically, individual identifiers are the user names of the 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 system accounts. Preventing the reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.

Related Controls: IA-2, IA-3, IA-5, IA-8, IA-9, MA-4, PE-2, PE-3, PE-4, PL-4, PM-12, PS-3, PS-4, PS-5, SC-37.

Control Enhancements:

• IDENTIFIER MANAGEMENT | PROHIBIT ACCOUNT IDENTIFIERS AS PUBLIC IDENTIFIERS

Prohibit the use of system account identifiers that are the same as public identifiers for individual electronic mail accounts.

Supplemental Guidance: Prohibiting the use of 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 systems. The use of this control alone only complicates guessing of identifiers and must be combined with appropriate protections for authenticators and attributes to protect the account as a whole.

Related Controls: AT-2.

• IDENTIFIER MANAGEMENT | SUPERVISOR AUTHORIZATION

[Withdrawn: Incorporated into IA-12(1)].

• IDENTIFIER MANAGEMENT | MULTIPLE FORMS OF CERTIFICATION

[Withdrawn: Incorporated into IA-12(2)].

 

• IDENTIFIER MANAGEMENT | IDENTIFY USER STATUS

Manage individual identifiers by uniquely identifying each individual as [Assignment: organization- defined characteristic identifying individual status].

Supplemental Guidance: Characteristics 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.

Related Controls: None.

• IDENTIFIER MANAGEMENT | DYNAMIC MANAGEMENT

Manage individual identifiers dynamically.

Supplemental Guidance: In contrast to conventional approaches to identification which presume static accounts for preregistered users, many distributed systems establish identifiers at run time for entities that were previously unknown. In these situations, organizations anticipate and provision for the dynamic establishment of identifiers. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.

Related Controls: AC-16.

• IDENTIFIER MANAGEMENT | CROSS-ORGANIZATION MANAGEMENT

Coordinate with [Assignment: organization-defined external organizations] for cross-organization management of identifiers.

Supplemental Guidance: Cross-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.

Related Controls: AU-16, IA-2, IA-5.

• IDENTIFIER MANAGEMENT | IN-PERSON REGISTRATION

[Withdrawn: Incorporated into IA-12(4)].

• IDENTIFIER MANAGEMENT | PAIRWISE PSEUDONYMOUS IDENTIFIERS

Generate pairwise pseudonymous identifiers.

Supplemental Guidance: Generating distinct pairwise pseudonymous identifiers, with no identifying information about a subscriber, discourages subscriber activity tracking and profiling beyond the operational requirements established by an organization. The pairwise pseudonymous identifiers are unique to each relying party, except in situations where relying parties show a demonstrable relationship justifying an operational need for correlation, or all parties consent to being correlated in such a manner.

Related Controls: IA-5.

References: FIPS Publication 201; NIST Special Publications 800-63, 800-73, 800-76, 800-78.

 

IA-5       AUTHENTICATOR MANAGEMENT

Control: Manage system authenticators by:

1. Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator;
2. Establishing initial authenticator content for any authenticators issued by the organization;
3. Ensuring that authenticators have sufficient strength of mechanism for their intended use;
4. Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;
5. Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;

 

1. Changing/refreshing authenticators [Assignment: organization-defined time-period by authenticator type];
2. Protecting authenticator content from unauthorized disclosure and modification;
3. Requiring individuals to take, and having devices implement, specific security controls to protect authenticators; and
4. Changing authenticators for group/role accounts when membership to those accounts

Supplemental Guidance: Examples of individual authenticators include passwords, cryptographic devices, one-time password devices, and key cards. The initial authenticator content is the actual content of the authenticator, for example, the initial password. In contrast, the requirements about authenticator content include, for example, the minimum password length. Developers may ship 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 in organizational systems including, for example, passwords stored in hashed or encrypted formats or files containing encrypted or hashed passwords accessible with administrator privileges. Systems support authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Actions that can be taken to safeguard individual authenticators include, for example, maintaining possession of authenticators, not loaning or sharing 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.

Related Controls: AC-3, AC-6, CM-6, IA-2, IA-4, IA-7, IA-8, IA-9, MA-4, PE-2, PL-4.

Control Enhancements:

• AUTHENTICATOR MANAGEMENT | PASSWORD-BASED AUTHENTICATION

For password-based authentication:

• Maintain a list of commonly-used, expected, or compromised passwords and update the list [Assignment: organization-defined frequency] and when organizational passwords are suspected to have been compromised directly or indirectly;
• Verify, when users create or update passwords, that the passwords are not found on the organization-defined list of commonly-used, expected, or compromised passwords;
• Transmit only cryptographically-protected passwords;
• Store passwords using an approved hash algorithm and salt, preferably using a keyed hash;
• Require immediate selection of a new password upon account recovery;
• Allow user selection of long passwords and passphrases, including spaces and all printable characters; and
• Employ automated tools to assist the user in selecting strong password

Supplemental Guidance: This control enhancement applies to passwords regardless of whether they are used in single-factor or multi-factor authentication. Long passwords or passphrases are preferable over shorter passwords. Enforced composition rules provide marginal security benefit while decreasing usability. Account recovery can occur, for example, in situations when a password is forgotten. Cryptographically-protected passwords include, for example, salted one-way cryptographic hashes of passwords. The list of commonly-used, expected, or compromised passwords may include, for example, passwords obtained from previous breach corpuses, dictionary words, and repetitive or sequential characters. Examples include aaaaaaa, 1234abcd, and qwertyuiop. The list can also include context specific words, for example, the name of the service, username, and derivatives thereof.

Related Controls: IA-6.

 

• AUTHENTICATOR MANAGEMENT | PUBLIC KEY-BASED AUTHENTICATION

For public key-based authentication:

• Enforce authorized access to the corresponding private key; and
• Map the authenticated identity to the account of the individual or group; and When public key infrastructure (PKI) is used:
• Validate certificates by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information; and
• Implement a local cache of revocation data to support path discovery and

Supplemental Guidance: Public key cryptography is a valid authentication mechanism for individuals and machines/devices. When PKI is leveraged, status information for certification paths includes, for example, certificate revocation lists or certificate status protocol responses. For PIV cards, the validation of certificates involves the construction and verification of a certification path to the Common Policy Root trust anchor which includes certificate policy processing. Implementing a local cache of revocation data to support path discovery and validation supports system availability in situations where organizations are unable to access revocation information via the network

Related Controls: IA-3, SC-17.

• AUTHENTICATOR MANAGEMENT | IN-PERSON OR TRUSTED EXTERNAL PARTY REGISTRATION

[Withdrawn: Incorporated into IA-12(4)].

• AUTHENTICATOR MANAGEMENT | AUTOMATED SUPPORT FOR PASSWORD STRENGTH DETERMINATION

[Withdrawn: Incorporated into IA-5(1)].

• AUTHENTICATOR MANAGEMENT | CHANGE AUTHENTICATORS PRIOR TO DELIVERY

Require developers and installers of system components to provide unique authenticators or change default authenticators prior to delivery and installation.

Supplemental Guidance: This control enhancement extends the requirement for organizations to change default authenticators upon 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-shelf information technology products. Requirements for unique authenticators can be included in acquisition documents prepared by organizations when procuring systems or system components.

Related Controls: None.

• AUTHENTICATOR MANAGEMENT | PROTECTION OF AUTHENTICATORS

Protect authenticators commensurate with the security category of the information to which use of the authenticator permits access.

Supplemental Guidance: For 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. Security categories of information are determined as part of the security categorization process.

Related Controls: RA-2.

• AUTHENTICATOR MANAGEMENT | NO EMBEDDED UNENCRYPTED STATIC AUTHENTICATORS

Ensure that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.

Supplemental Guidance: Organizations 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.

Related Controls: None.

• AUTHENTICATOR MANAGEMENT | MULTIPLE SYSTEM ACCOUNTS

Implement [Assignment: organization-defined security safeguards] to manage the risk of compromise due to individuals having accounts on multiple systems.

 

Supplemental Guidance: When individuals have accounts on multiple systems, there is the risk that a compromise of one account may lead to the compromise of other accounts if individuals use the same authenticators. Possible alternatives include: having different authenticators on all systems; employing some form of single sign-on mechanism; or using some form of one- time passwords on all systems.

Related Controls: None.

• AUTHENTICATOR MANAGEMENT | FEDERATED CREDENTIAL MANAGEMENT

Use [Assignment: organization-defined external organizations] to federate authenticators.

Supplemental Guidance: Federation provides the capability for organizations to appropriately authenticate individuals and devices when conducting cross-organization activities involving the processing, storage, or transmission of information.

Related Controls: AU-7, AU-16.

• AUTHENTICATOR MANAGEMENT | DYNAMIC CREDENTIAL BINDING

Bind identities and authenticators dynamically.

Supplemental Guidance: Authentication 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 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 system. New authentication techniques allow the binding between the identity and the authenticator to be implemented outside a system. For example, with smartcard credentials, the identity and the authenticator are bound together on the smartcard. Using these credentials, 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. Pre-established trust relationships and mechanisms with appropriate authorities to validate identities and related credentials are essential.

Related Controls: AU-16, IA-5.

• AUTHENTICATOR MANAGEMENT | HARDWARE TOKEN-BASED AUTHENTICATION

[Withdrawn: Incorporated into IA-2(1)(2)].

• AUTHENTICATOR MANAGEMENT | BIOMETRIC AUTHENTICATION PERFORMANCE

For biometric-based authentication, employ mechanisms that satisfy [Assignment: organization- defined biometric quality requirements].

Supplemental Guidance:  Unlike 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. The matching performance is the rate at which a biometric algorithm correctly results in a match for a genuine user and rejects other users. Biometric performance requirements include, for example, the match rate as this reflects the accuracy of the biometric matching algorithm being used by a system.

Related Controls: AC-7.

• AUTHENTICATOR MANAGEMENT | EXPIRATION OF CACHED AUTHENTICATORS

Prohibit the use of cached authenticators after [Assignment: organization-defined time-period].

Supplemental Guidance: None.

Related Controls: None.

• AUTHENTICATOR MANAGEMENT | MANAGING CONTENT OF PKI TRUST STORES

For PKI-based authentication, employ a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including networks, operating systems, browsers, and applications.

Supplemental Guidance: None.

 

Related Controls: None.

• AUTHENTICATOR MANAGEMENT | GSA-APPROVED PRODUCTS AND SERVICES

Use only General Services Administration-approved and validated products and services.

Supplemental Guidance: General Services Administration (GSA)-approved products and services are the products and services that have been approved through the GSA conformance program, where applicable, and posted to the GSA Approved Products List.

Related Controls: None.

• AUTHENTICATOR MANAGEMENT | IN-PERSON OR TRUSTED EXTERNAL PARTY AUTHENTICATOR ISSUANCE

Require that the issuance of [Assignment: organization-defined types of and/or specific authenticators] be conducted [Selection: in person; by a trusted external party] before [Assignment: organization-defined registration authority] with authorization by [Assignment: organization-defined personnel or roles].

Supplemental Guidance: None.

Related Controls: IA-12.

• AUTHENTICATOR MANAGEMENT | PRESENTATION ATTACK DETECTION FOR BIOMETRIC AUTHENTICATORS

Employ presentation attack detection mechanisms for biometric-based authentication.

Supplemental Guidance: Biometric characteristics do not constitute secrets. Such characteristics can be obtained by online web accesses; taking a picture of someone with a camera phone to obtain facial images with or without their knowledge; lifting from objects that someone has touched, for example, a latent fingerprint; or capturing a high-resolution image, for example, an iris pattern. Presentation attack detection technologies including, for example, liveness detection, can mitigate the risk of these types of attacks by making it more difficult to produce artifacts intended to defeat the biometric sensor.

Related Controls: AC-7.

References: FIPS Publications 140-2, 180-4, 201, 202; NIST Special Publications 800-73, 800-63,

800-76, 800-78; NIST Interagency Reports 7539, 7817, 7849, 7870, 8040.

 

IA-6       AUTHENTICATOR FEEDBACK

Control: Obscure feedback of authentication information during the authentication process to protect the information from possible exploitation and use by unauthorized individuals.

Supplemental Guidance: The feedback from systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with small displays, this threat may be less significant, and is balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring authenticator feedback is selected accordingly. Obscuring authenticator feedback includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.

Related Controls: AC-3. Control Enhancements: None. References: None.

IA-7       CRYPTOGRAPHIC MODULE AUTHENTICATION

Control: Implement mechanisms for authentication to a cryptographic module that meet the requirements of applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines for such authentication.

 

Supplemental Guidance: Authentication 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.

Related Controls: AC-3, IA-5, SA-4, SC-12, SC-13.

Control Enhancements: None.

References: FIPS Publication 140-2.

 

IA-8       IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)

Control: Uniquely identify and authenticate non-organizational users or processes acting on behalf of non-organizational users.

Supplemental Guidance: Non-organizational users include 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. Identification and authentication of non-organizational users accessing federal systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations consider many factors including scalability, practicality, security, and privacy in balancing the need to ensure ease of use for access to federal information and systems with the need to protect and adequately mitigate risk.

Related Controls: AC-2, AC-6, AC-14, AC-17, AC-18, AU-6, IA-2, IA-4, IA-5, IA-10, IA-11, MA- 4, RA-3, SA-4, SA-12, SC-8.

Control Enhancements:

• IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES

Accept and electronically verify Personal Identity Verification credentials from other federal agencies.

Supplemental Guidance: This control enhancement applies to both logical and physical access control systems. Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidelines. The adequacy and reliability of PIV card issuers are addressed and authorized using NIST Special Publication 800-79.

Related Controls: PE-3.

• IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | ACCEPTANCE OF EXTERNAL CREDENTIALS

Accept only external credentials that are NIST compliant.

Supplemental Guidance: This control enhancement applies to organizational systems that are accessible to the public, for example, public-facing websites. External credentials are those credentials issued by nonfederal government entities. Such credentials are certified as compliant with NIST Special Publication 800-63 by an approved accreditation authority. Approved external 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.

Related Controls: None.

• IDENTIFICATION AND IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | USE OF FICAM-APPROVED PRODUCTS

[Withdrawn: Incorporated into IA-8(2)].

• IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | USE OF NIST-ISSUED PROFILES

Conform to NIST-issued profiles for identity management.

Supplemental Guidance: This control enhancement addresses open identity management standards. To ensure that these identity management standards are viable, robust, reliable,

 

sustainable, and interoperable as documented, the United States Government assesses and scopes the standards and technology implementations against applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. The result is NIST-issued implementation profiles of approved protocols.

Related Controls: None.

• IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | ACCEPTANCE OF PIV-I CREDENTIALS

Accept and electronically verify Personal Identity Verification-I (PIV-I) credentials.

Supplemental Guidance: This control enhancement applies to both logical access control and physical access control systems. It addresses Nonfederal Issuers of identity cards that desire to interoperate with United States Government Personal Identity Verification (PIV) 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 commensurate with the PIV credentials as defined in cited references. PIV-I credentials are the 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 with the FBCA (directly or through another PKI bridge) with policies that have been mapped and approved as meeting the requirements of the PIV-I policies defined in the FBCA certificate policy.

Related Controls: None.

• IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS) | DISASSOCIABILITY

Implement [Assignment: organization-defined measures] to disassociate user attributes or credential assertion relationships among individuals, credential service providers, and relying parties.

Supplemental Guidance: Federated identity solutions can create increased privacy risks due to tracking and profiling of individuals. Using identifier mapping tables or privacy-enhancing cryptographic techniques to blind credential service providers and relying parties from each other or to make identity attributes less visible to transmitting parties can reduce these privacy risks.

Related Controls: None.

References: FIPS Publication 201; NIST Special Publications 800-63, 800-79, 800-116; NIST

Interagency Report 8062.

 

IA-9       SERVICE IDENTIFICATION AND AUTHENTICATION

Control: Identify and authenticate [Assignment: organization-defined system services and applications] before establishing communications with devices, users, or other services or applications.

Supplemental Guidance: Services that may require identification and authentication include, for example, web applications using digital certificates or services/applications that query a database. Identification and authentication methods for system services/applications include, for example, information or code signing, provenance graphs, and/or electronic signatures indicating the sources of services.

Related Controls: IA-3, IA-4, IA-5.

Control Enhancements:

• SERVICE IDENTIFICATION AND AUTHENTICATION | INFORMATION EXCHANGE

Ensure that service providers receive, validate, and transmit identification and authentication information.

Supplemental Guidance: None.

Related Controls: None.

 

• SERVICE IDENTIFICATION AND AUTHENTICATION | TRANSMISSION OF DECISIONS

Transmit identification and authentication decisions between [Assignment: organization-defined services] consistent with organizational policies.

Supplemental Guidance: For distributed 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 (instead of the actual identifiers and authenticators) to the services that need to act on those decisions.

Related Controls: SC-8.

References: None.

 

IA-10     ADAPTIVE AUTHENTICATION

Control: Require individuals accessing the system to employ [Assignment: organization-defined supplemental authentication techniques or mechanisms] under specific [Assignment: organization-defined circumstances or situations].

Supplemental Guidance: Adversaries 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 or mechanisms and establish protocols to assess suspicious behavior. Such behavior may include, for example, accessing information that individuals do not typically access as part of their 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 situations when pre-established conditions or triggers occur, organizations can require individuals to provide additional authentication information. Another potential use for adaptive authentication is to increase the strength of mechanism based on the number and/or types of records being accessed. Adaptive authentication does not replace and is not used to avoid multifactor mechanisms, but can augment implementations of these controls.

Related Controls:  IA-2, IA-8.

Control Enhancements:  None.

References: NIST Special Publication 800-63.

 

IA-11     RE-AUTHENTICATION

Control: Require users to re-authenticate when [Assignment: organization-defined circumstances or situations requiring re-authentication].

Supplemental Guidance: In addition to the re-authentication requirements associated with device locks, organizations may require re-authentication of individuals in certain situations including, for example, when authenticators or roles change; when security categories of systems change; when the execution of privileged functions occurs; after a fixed time-period; or periodically.

Related Controls: AC-3, AC-11, IA-2, IA-3, IA-8.

Control Enhancements: None.

References: None.

 

IA-12     IDENTITY PROOFING

Control:

1. Identity proof users that require accounts for logical access to systems based on appropriate identity assurance level requirements as specified in applicable standards and guidelines;
2. Resolve user identities to a unique individual; and

 

1. Collect, validate, and verify identity

Supplemental Guidance: Identity proofing is the process of collecting, validating, and verifying user’s identity information for the purposes of issuing credentials for accessing a system. This control is intended to mitigate threats to the registration of users and the establishment of their accounts. Standards and guidelines specifying identity assurance levels for identity proofing include NIST Special Publications 800-63 and 800-63A.

Related Controls: IA-1, IA-2, IA-3, IA-4, IA-5, IA-6, IA-8.

• IDENTITY PROOFING | SUPERVISOR AUTHORIZATION

Require that the registration process to receive an account for logical access includes supervisor or sponsor authorization.

Supplemental Guidance: None.

Related Controls: None.

• IDENTITY PROOFING | IDENTITY EVIDENCE

Require evidence of individual identification be presented to the registration authority.

Supplemental Guidance: Requiring identity evidence, 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. Acceptable forms of evidence are consistent with the risk to the systems, roles, and privileges associated with the user’s account.

Related Controls: None.

• IDENTITY PROOFING | IDENTITY EVIDENCE VALIDATION AND VERIFICATION

Require that the presented identity evidence be validated and verified through [Assignment: organizational defined methods of validation and verification].

Supplemental Guidance: Validating and verifying identity evidence increases the assurance that that accounts, identifiers, and authenticators are being issued to the correct user. Validation refers to the process of confirming that the evidence is genuine and authentic and that the data contained in the evidence is correct, current, and related to an actual person or individual.

Verification confirms and establishes a linkage between the claimed identity and the actual existence of the user presenting the evidence. Acceptable methods for validating and verifying identity evidence are consistent with the risk to the systems, roles, and privileges associated with the users account

Related Controls: None.

• IDENTITY PROOFING | IN-PERSON VALIDATION AND VERIFICATION

Require that the validation and verification of identity evidence be conducted in person before a designated registration authority.

Supplemental Guidance: In-person proofing reduces the likelihood of fraudulent credentials being issued because it requires the physical presence of individuals, the presentation of physical identity documents, and actual face-to-face interactions with designated registration authorities.

Related Controls: None.

• IDENTITY PROOFING | ADDRESS CONFIRMATION

Require that a [Selection: registration code; notice of proofing] be delivered through an out-of- band channel to verify the users address (physical or digital) of record.

Supplemental Guidance: To make it more difficult for adversaries to pose as legitimate users during the identity proofing process, organizations can use out-of-band methods to increase assurance that the individual associated with an address of record was the same person that participated in the registration. Confirmation can take the form of a temporary enrollment code or a notice of proofing. The delivery address for these artifacts are obtained from records and not self-asserted by the user. The address can include a physical or a digital address. A home address is an example of a physical address. Email addresses and telephone numbers are examples of digital addresses.

 

Related Controls: IA-12.

• IDENTITY PROOFING | ACCEPT EXTERNALLY-PROOFED IDENTITIES

Accept externally-proofed identities at [Assignment: organization-defined identity assurance level].

Supplemental Guidance: To limit unnecessary re-proofing of identities, particularly of non-PIV users, organizations accept proofing conducted at a commensurate level of assurance by other agencies or organizations. Proofing is consistent with organizational security policy and with the identity assurance level appropriate for the system, application, or information accessed. This is a core component of managing federated identities across agencies and organizations.

Related Controls: IA-3, IA-4, IA-5, IA-8.

References: FIPS Publication 201; NIST Special Publications 800-63, 800-63A.

INDIVIDUAL PARTICIPATION

Quick link to Individual Participation summary table

 

IP-1       INDIVIDUAL PARTICIPATION POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. An individual participation policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the individual participation policy and the associated individual participation controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the individual participation policy and procedures;
3. Review and update the current individual participation:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the individual participation procedures implement the individual participation policy and controls; and
5. Develop, document, and implement remediation actions for violations of the individual participation

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the IP family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

IP-2       CONSENT

Control: Implement [Assignment: organization-defined tools or mechanisms] for users to authorize the processing of their personally identifiable information prior to its collection that:

1. Use plain language and provide examples to illustrate the potential privacy risks of the authorization; and

 

1. Provide a means for users to decline the

Supplemental Guidance: This control transfers risk that arises from the processing of personally identifiable information from the organization to an individual. It is only selected as required by law or regulation or when individuals can be reasonably expected to understand and accept any privacy risks arising from their authorization. Organizations consider whether other controls may more effectively mitigate privacy risk either alone or in conjunction with consent.

To help users understand the risks being accepted when providing consent, organizations write materials in plain language and avoid technical jargon. The examples required in IP-2 a. focus on key points necessary for user decision-making. When developing or purchasing consent tools, organizations consider the application of good information design procedures in all user-facing consent materials; use of active voice and conversational style; logical sequencing of main points; consistent use of the same word (rather than synonyms) to avoid confusion; the use of bullets, numbers, and formatting where appropriate to aid readability; and legibility of text, such as font style, size, color, and contrast with surrounding background.

Related Controls: AC-16, IP-4.

Control Enhancements:

• CONSENT | ATTRIBUTE MANAGEMENT

Allow data subjects to tailor use permissions to selected attributes.

Supplemental Guidance: Allowing individuals to select how specific data attributes may be further used or disclosed beyond the original use may help reduce privacy risk arising from the most sensitive of the data attributes while maintaining utility of the data.

Related Controls: None.

• CONSENT | JUST-IN-TIME NOTICE OF CONSENT

Present authorizations to process personally identifiable information in conjunction with the data action or [Assignment: organization-defined frequency].

Supplemental Guidance: If the circumstances under which an individual gave consent have changed or a significant amount of time has passed since an individual gave consent for the processing of his or her personally identifiable information, the data subject’s assumption about how the information is being processed might no longer be accurate or reliable. Just-in- time notice can help maintain individual satisfaction with how the personally identifiable information is being processed.

Related Controls: None.

References: NIST Special Publication 800-63; NIST Interagency Report 8062.

 

IP-3       REDRESS

Control:

1. Establish and implement a process for individuals to have inaccurate personally identifiable information maintained by the organization corrected or amended; and
2. Establish and implement a process for disseminating corrections or amendments of personally identifiable information to other authorized users of the personally identifiable

Supplemental Guidance: Redress supports the ability of individuals to ensure the accuracy of their personally identifiable information held by organizations. Effective redress processes demonstrate organizational commitment to data quality especially in those business functions where inaccurate data may result in inappropriate decisions or the denial of benefits and services to individuals.

Organizations use discretion in determining if records are to be corrected or amended, based on the scope of redress requests, the changes sought, and the impact of the changes. Other authorized users of personally identifiable information include, for example, external information-sharing partners.

 

An effective redress process includes: providing effective notice of the existence of a personally identifiable information collection; providing plain language explanations of the processes and mechanisms for requesting access to records; establishing the criteria for submitting requests for correction or amendment of records; implementing resources to analyze and adjudicate requests; implementing means of correcting or amending data collections; and reviewing any decisions that may have been the result of inaccurate information.

Related Controls: IP-4, IP-6, IR-7, PM-28.

Control Enhancements:

• REDRESS | NOTICE OF CORRECTION OR AMENDMENT

Notify affected individuals if their personally identifiable information has been corrected or amended.

Supplemental Guidance: Where personally identifiable information is corrected or amended, organizations take steps to ensure that all authorized recipients of such information and the individual with which the information is associated, are informed of the corrected or amended information.

Related Controls: None.

• REDRESS | APPEAL

Provide [Assignment: organization-defined process] for individuals to appeal an adverse decision and have incorrect information amended.

Supplemental Guidance: The Senior Agency Official for Privacy ensures that practical means and mechanisms exist and are accessible for individuals to seek the correction or amendment of their personally identifiable information. Redress processes are clearly defined and publicly available. Additionally, redress processes include the provision of responses to individuals of decisions to deny requests for correction or amendment. The responses include the reasons for the decisions, a means to record individual objections to the decisions, and finally, a means of requesting reviews of the initial determinations.

Related Controls: None.

References: None.

 

IP-4       PRIVACY NOTICE

Control:

1. Make privacy notice(s) available to individuals upon first interacting with an organization, and subsequently [Assignment: organization-defined frequency].
2. Ensure that privacy notices are clear and easy-to-understand, expressing information about personally identifiable information processing in plain

Supplemental Guidance: To help users understand how their information is being processed, organizations write materials in plain language and avoid technical jargon. When developing privacy notices, organizations consider the application of good information design procedures in all user-facing materials; use of active voice and conversational style; logical sequencing of main points; consistent use of the same word (rather than synonyms) to avoid confusion; use of bullets, numbers, and formatting where appropriate to aid readability; and legibility of text, such as font style, size, color, and contrast with surrounding background.

Related Controls: IP-2, IP-3, IP-4, IP-5, PA-2, PA-3, PA-4, PM-21.

Control Enhancements:

(1) PRIVACY NOTICE | JUST-IN-TIME NOTICE OF PRIVACY AUTHORIZATION

Present authorizations to process personally identifiable information in conjunction with the data action, or [Assignment: organization-defined frequency].

Supplemental Guidance: If the circumstances under which an individual gave consent have changed or a significant amount of time has passed since an individual gave consent for the

 

processing of his or her personally identifiable information, the data subject’s assumption about how the information is being processed might no longer be accurate or reliable. Just-in- time notice can help maintain individual satisfaction with or ability to participate in how the personally identifiable information is being processed.

Related Controls:  IP-2, IP-3, IP-5, PA-3, PA-4, PM-22.

References: NIST Interagency Report 8062.

 

IP-5       PRIVACY ACT STATEMENTS

Control:

1. Include Privacy Act Statements on organizational forms that collect personally identifiable information, or on separate forms that can be retained by individuals; or
2. Read a Privacy Act Statement to the individual prior to initiating the collection of personally identifiable information

Supplemental Guidance: Privacy Act Statements provide additional formal notice to individuals from whom the information is being collected, notice of the authority of organizations to collect personally identifiable information; whether providing personally identifiable information is mandatory or optional; the principal purpose or purposes for which the personally identifiable information is to be used; the intended disclosures or routine uses of the information; and the consequences of not providing all or some portion of the information requested. Personally identifiable information may be collected verbally, for example, when conducting telephone interviews or surveys.

Related Controls: IP-4, PA-3, PM-20, PM-21.

Control Enhancements: None.

References: None.

 

IP-6       INDIVIDUAL ACCESS

Control: Provide individuals the ability to access their personally identifiable information maintained in organizational systems of records.

Supplemental Guidance: Access affords individuals the ability to review personally identifiable information about them held within organizational systems of records. Access includes timely, simplified, and inexpensive access to data. Organizational processes for allowing access to records may differ based on resources, legal requirements, or other factors. The Senior Agency Official for Privacy is responsible for the content of Privacy Act regulations and record request processing, in consultation with legal counsel. Access to certain types of records may not be appropriate, and heads of agencies may promulgate rules exempting specific systems from the access provision of the Privacy Act. When feasible, those rules will be publicly available. In addition, individuals are not entitled to access to information compiled in reasonable anticipation of a civil action or proceeding.

Related Controls: IP-3, PA-3, PM-27.

Control Enhancements: None.

References: NIST Interagency Report 8062.

 

3.2     INCIDENT RESPONSE

 

Quick link to Incident Response summary table

 

IR-1       INCIDENT RESPONSE POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. An incident response policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the incident response policy and the associated incident response controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the incident response policy and procedures;
3. Review and update the current incident response:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the incident response procedures implement the incident response policy and controls; and
5. Develop, document, and implement remediation actions for violations of the incident response

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the IR family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-61, 800-83, 800-100.

 

IR-2       INCIDENT RESPONSE TRAINING

Control: Provide incident response training to system users consistent with assigned roles and responsibilities:

1. Within [Assignment: organization-defined time-period] of assuming an incident response role or responsibility;

 

1. When required by system changes; and
2. [Assignment: organization-defined frequency]

Supplemental Guidance: Incident response training is linked to assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, users may only need to know who to call or how to recognize an incident; system administrators may require additional training on how to handle and remediate incidents; and finally, 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.

Related Controls: AT-2, AT-4, AT-3, CP-3, IR-3, IR-4, IR-8, IR-9.

Control Enhancements:

• INCIDENT RESPONSE TRAINING | SIMULATED EVENTS

Incorporate simulated events into incident response training to facilitate effective response by personnel in crisis situations.

Supplemental Guidance: None.

Related Controls: None.

• INCIDENT RESPONSE TRAINING | AUTOMATED TRAINING ENVIRONMENTS

Employ automated mechanisms to provide a more thorough and realistic incident response training environment.

Supplemental Guidance: None.

Related Controls: None.

References: NIST Special Publication 800-50.

 

IR-3       INCIDENT RESPONSE TESTING

Control: Test the incident response capability for the system [Assignment: organization-defined frequency] using [Assignment: organization-defined tests] to determine the incident response effectiveness and documents the results.

Supplemental Guidance: Organizations 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, organizational assets, and individuals due to incident response. Use of qualitative and quantitative data aids in determining the effectiveness of incident response processes.

Related Controls: CP-3, CP-4, IR-2, IR-4, IR-8, PM-14.

Control Enhancements:

• INCIDENT RESPONSE TESTING | AUTOMATED TESTING

Employ automated mechanisms to more thoroughly and effectively test the incident response capability.

Supplemental Guidance: Organizations use automated mechanisms to more thoroughly and effectively test incident response capabilities. This can be accomplished, for example, by providing more complete coverage of incident response issues; by selecting more realistic test scenarios and test environments; and by stressing the response capability.

Related Controls: None.

• INCIDENT RESPONSE TESTING | COORDINATION WITH RELATED PLANS

Coordinate incident response testing with organizational elements responsible for related plans.

Supplemental Guidance: Organizational plans related to incident response testing include, for example, Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity

 

of Operations Plans, Crisis Communications Plans, Occupant Emergency Plans, and Critical Infrastructure Plans.

Related Controls: None.

• INCIDENT RESPONSE TESTING | CONTINUOUS IMPROVEMENT

Use qualitative and quantitative data from testing to:

• Determine the effectiveness of incident response processes;
• Continuously improve incident response processes incorporating advanced information security practices; and
• Provide incident response measures and metrics that are accurate, consistent, and in a reproducible

Supplemental Guidance: To help incident response activities function as intended, organizations may use of metrics and evaluation criteria to assess incident response programs as part of an effort to continually improve response performance. These efforts facilitate improvement in incident response efficacy and lessen the impact of incidents.

Related Controls: None.

References: NIST Special Publications 800-84, 800-115.

 

IR-4       INCIDENT HANDLING

Control:

1. Implement an incident handling capability for security and privacy incidents that includes preparation, detection and analysis, containment, eradication, and recovery;
2. Coordinate incident handling activities with contingency planning activities;
3. Incorporate lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implement the resulting changes accordingly; and
4. Ensure the rigor, intensity, scope, and results of incident handling activities are comparable and predictable across the

Supplemental Guidance: Organizations recognize that incident response capability is dependent on the capabilities of organizational 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 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, system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).

Related Controls: AC-19, AU-6, AU-7, CM-6, CP-2, CP-3, CP-4, IR-2, IR-3, IR-8, PE-6, PL-2, PM-12, SA-12, SC-5, SC-7, SI-3, SI-4, SI-7.

Control Enhancements:

• INCIDENT HANDLING | AUTOMATED INCIDENT HANDLING PROCESSES

Employ automated mechanisms to support the incident handling process.

Supplemental Guidance: Automated mechanisms supporting incident handling processes include, for example, online incident management systems; and tools that support collection of live response data, full network packet capture, and forensic analysis.

Related Controls: None.

• INCIDENT HANDLING | DYNAMIC RECONFIGURATION

Include dynamic reconfiguration of [Assignment: organization-defined system components] as part of the incident response capability.

 

Supplemental Guidance: Dynamic 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 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 systems in the definition of the reconfiguration capability, considering the potential need for rapid response to effectively address cyber threats.

Related Controls: AC-2, AC-4, CM-2.

• INCIDENT HANDLING | CONTINUITY OF OPERATIONS

Identify [Assignment: organization-defined classes of incidents] and [Assignment: organization- defined actions to take in response to classes of incidents] to ensure continuation of organizational missions and business functions.

Supplemental Guidance: Classes 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, 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.

Related Controls: None.

• INCIDENT HANDLING | INFORMATION CORRELATION

Correlate incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.

Supplemental Guidance: Sometimes the nature of a threat event, for example, a hostile 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.

Related Controls: None.

• INCIDENT HANDLING | AUTOMATIC DISABLING OF SYSTEM

Implement a configurable capability to automatically disable the system if [Assignment: organization-defined security violations] are detected.

Supplemental Guidance: None.

Related Controls: None.

• INCIDENT HANDLING | INSIDER THREATS — SPECIFIC CAPABILITIES

Implement an incident handling capability for incidents involving insider threats.

Supplemental Guidance: While 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.

Related Controls: None.

• INCIDENT HANDLING | INSIDER THREATS — INTRA-ORGANIZATION COORDINATION

Coordinate an incident handling capability for insider threats across [Assignment: organization- defined components or elements of the organization].

Supplemental Guidance: Incident 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, 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.

Related Controls: None.

 

• INCIDENT HANDLING | CORRELATION WITH EXTERNAL ORGANIZATIONS

Coordinate with [Assignment: organization-defined external organizations] to correlate and share [Assignment: organization-defined incident information] to achieve a cross-organization perspective on incident awareness and more effective incident responses.

Supplemental Guidance: The coordination of incident information with external organizations including, for example, mission/business partners, military/coalition partners, customers, and multi-tiered 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.

Related Controls: AU-16, PM-16.

• INCIDENT HANDLING | DYNAMIC RESPONSE CAPABILITY

Employ [Assignment: organization-defined dynamic response capabilities] to effectively respond to security incidents.

Supplemental Guidance: This control enhancement addresses the timely deployment of new or replacement organizational capabilities in response to security and privacy incidents. This includes capabilities implemented at the mission and business process level and at the system level.

Related Controls: None.

• INCIDENT HANDLING | SUPPLY CHAIN COORDINATION

Coordinate incident handling activities involving supply chain events with other organizations involved in the supply chain.

Supplemental Guidance: Organizations 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 system components, information technology products, development processes or personnel, and distribution processes or warehousing facilities.

Related Controls: MA-2, SA-9.

References: NIST Special Publications 800-61, 800-101, 800-86; NIST Interagency Report 7599.

 

IR-5       INCIDENT MONITORING

Control: Track and document system security and privacy incidents.

Supplemental Guidance: Documenting system security and privacy incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics; and evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, network monitoring; incident reports; incident response teams; user complaints; audit monitoring; physical access monitoring; and user and administrator reports.

Related Controls: AU-6, AU-7, IR-8, PE-6, PM-29, SC-5, SC-7, SI-3, SI-4, SI-7.

Control Enhancements:

(1) INCIDENT MONITORING | AUTOMATED TRACKING, DATA COLLECTION, AND ANALYSIS

Employ automated mechanisms to assist in the tracking of security and privacy incidents and in the collection and analysis of incident information.

Supplemental Guidance: Automated mechanisms for tracking incidents and for collecting and analyzing incident information include, for example, Computer Incident Response Centers or other electronic databases of incidents and network monitoring devices.

Related Controls: AU-7, IR-4.

References: NIST Special Publication 800-61.

 

IR-6       INCIDENT REPORTING

Control:

1. Require personnel to report suspected security and privacy incidents to the organizational incident response capability within [Assignment: organization-defined time-period]; and
2. Report security, privacy, and supply chain incident information to [Assignment: organization- defined authorities].

Supplemental Guidance: The intent of this control is to address both specific incident reporting requirements within an organization and the incident reporting requirements for organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. Suspected privacy incidents include, for example a suspected breach of personally identifiable information or the recognition that the processing of personally identifiable information creates potential privacy risk. The types of incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines.

Related Controls: CM-6, CP-2, IR-4, IR-5, IR-8, IR-9.

Control Enhancements:

• INCIDENT REPORTING | AUTOMATED REPORTING

Employ automated mechanisms to assist in the reporting of security and privacy incidents.

Supplemental Guidance: None.

Related Controls: IR-7.

• INCIDENT REPORTING | VULNERABILITIES RELATED TO INCIDENTS

Report system vulnerabilities associated with reported security and privacy incidents to [Assignment: organization-defined personnel or roles].

Supplemental Guidance: None.

Related Controls: None.

• INCIDENT REPORTING | SUPPLY CHAIN COORDINATION

Provide security and privacy incident information to the provider of the product or service and other organizations involved in the supply chain for systems or system components related to the incident.

Supplemental Guidance: Organizations 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 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 controlled unclassified information being released to outside organizations of perhaps questionable trustworthiness.

Related Controls: SA-12.

References: NIST Special Publication 800-61.

 

IR-7       INCIDENT RESPONSE ASSISTANCE

Control: Provide an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the system for the handling and reporting of security and privacy incidents.

Supplemental Guidance: Incident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services or consumer redress services, when required.

Related Controls: AT-2, AT-3, IP-3, IR-4, IR-6, IR-8, PM-28, SA-9.

 

Control Enhancements:

• INCIDENT RESPONSE ASSISTANCE | AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION AND SUPPORT

Employ automated mechanisms to increase the availability of incident response-related information and support.

Supplemental Guidance: Automated 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 the assistance capability can proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.

Related Controls: None.

• INCIDENT RESPONSE ASSISTANCE | COORDINATION WITH EXTERNAL PROVIDERS
  • Establish a direct, cooperative relationship between its incident response capability and external providers of system protection capability; and
  • Identify organizational incident response team members to the external

Supplemental Guidance: External providers of a 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.

Related Controls: None.

References: NIST Interagency Report 7559.

 

IR-8       INCIDENT RESPONSE PLAN

Control:

1. Develop an incident response plan that:
   1. Provides the organization with a roadmap for implementing its incident response capability;
   2. Describes the structure and organization of the incident response capability;
   3. Provides a high-level approach for how the incident response capability fits into the overall organization;
   4. Meets the unique requirements of the organization, which relate to mission, size, structure, and functions;
   5. Defines reportable incidents;
   6. Provides metrics for measuring the incident response capability within the organization;
   7. Defines the resources and management support needed to effectively maintain and mature an incident response capability;
   8. Is reviewed and approved by [Assignment: organization-defined personnel or roles] [Assignment: organization-defined frequency]; and
   9. Explicitly designates responsibility for incident response to [Assignment: organization- defined entities, personnel, or roles].
2. Distribute copies of the incident response plan to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements];
3. Update the incident response plan to address system and organizational changes or problems encountered during plan implementation, execution, or testing;
4. Communicate incident response plan changes to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements]; and

 

1. Protect the incident response plan from unauthorized disclosure and

Supplemental Guidance: It 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 systems. For incidents involving personally identifiable information, include a process to determine whether notice to oversight organizations or affected individuals is appropriate and provide that notice accordingly.

Related Controls: AC-2, CP-2, CP-4, IR-4, IR-7, IR-9, PE-6, PL-2, SA-12, SA-15, SI-12.

Control Enhancements:

• INCIDENT RESPONSE PLAN | PERSONALLY IDENTIFIABLE INFORMATION PROCESSES

Include the following additional processes in the Incident Response Plan for incidents involving personally identifiable information:

• A process to determine if notice to oversight organizations is appropriate and to provide that notice, if appropriate;
• An assessment process to determine the extent of the harm, embarrassment, inconvenience, or unfairness to affected individuals; and
• A process to ensure prompt reporting by organizational users of any privacy incident to [Assignment: organization-defined roles].

Supplemental Guidance: Some organizations may be required by law or policy to provide notice to oversight organizations in the event of a privacy-related incident. Organization-defined roles to which privacy incidents may be reported include, for example, the Senior Agency Official for Privacy, Senior Agency Information Security Officer, Authorizing Official, and System Owner.

Related Controls: None.

References: NIST Special Publication 800-61.

 

IR-9       INFORMATION SPILLAGE RESPONSE

Control: Respond to information spills by:

1. Identifying the specific information involved in the system contamination;
2. Alerting [Assignment: organization-defined personnel or roles] of the information spill using a method of communication not associated with the spill;
3. Isolating the contaminated system or system component;
4. Eradicating the information from the contaminated system or component;
5. Identifying other systems or system components that may have been subsequently contaminated; and
6. Performing the following additional actions: [Assignment: organization-defined actions].

Supplemental Guidance: Information spillage refers to instances where either classified or controlled unclassified information is inadvertently placed on systems that are not authorized to process such information. Such information spills occur when information that is initially thought to be of lower sensitivity is transmitted to a system and then 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, the security capabilities of the system, the specific nature of contaminated storage media, and the access authorizations 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.

 

Related Controls: CP-2, IR-6, PM-28, PM-30, RA-7.

Control Enhancements:

• INFORMATION SPILLAGE RESPONSE | RESPONSIBLE PERSONNEL

Assign [Assignment: organization-defined personnel or roles] with responsibility for responding to information spills.

Supplemental Guidance: None.

Related Controls: None.

• INFORMATION SPILLAGE RESPONSE | TRAINING

Provide information spillage response training [Assignment: organization-defined frequency].

Supplemental Guidance: None.

Related Controls: AT-2, AT-3, CP-3, IR-2.

• INFORMATION SPILLAGE RESPONSE | POST-SPILL OPERATIONS

Implement [Assignment: 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.

Supplemental Guidance: Correction actions for 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.

Related Controls: None.

• INFORMATION SPILLAGE RESPONSE | EXPOSURE TO UNAUTHORIZED PERSONNEL

Employ [Assignment: organization-defined security safeguards] for personnel exposed to information not within assigned access authorizations.

Supplemental Guidance: Security safeguards include, for example, ensuring that personnel who are exposed to spilled information are made aware of the laws, Executive Orders, directives, regulations, policies, standards, and guidelines regarding the information and the restrictions imposed based on exposure to such information.

Related Controls: None.

References: None.

 

IR-10     INTEGRATED INFORMATION SECURITY ANALYSIS TEAM

Control: Establish an integrated team of forensic and malicious code analysts, tool developers, and real-time operations personnel to handle incidents.

Supplemental Guidance: Having 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 to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, integrated teams promote 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 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 tactics, techniques, and procedures that are linked to the operations tempo or to specific missions and business functions, and to define responsive actions in a way that does not disrupt those missions and business functions. Information security analysis teams are distributed within organizations to make the capability more resilient.

Related Controls: AT-3.

Control Enhancements: None.

References: NIST Special Publication 800-150; NIST Interagency Report 7559.

 

3.3        MAINTENANCE

 

Quick link to Maintenance summary table

 

MA-1    SYSTEM MAINTENANCE POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A system maintenance policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the system maintenance policy and the associated system maintenance controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the system maintenance policy and procedures;
3. Review and update the current system maintenance:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the system maintenance procedures implement the system maintenance policy and controls; and
5. Develop, document, and implement remediation actions for violations of the maintenance policy.

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the MA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

MA-2    CONTROLLED MAINTENANCE

Control:

1. Schedule, document, and review records of maintenance, repair, or replacement on system components in accordance with manufacturer or vendor specifications and/or organizational requirements;

 

1. Approve and monitor all maintenance activities, whether performed on site or remotely and whether the system or system components are serviced on site or removed to another location;
2. Require that [Assignment: organization-defined personnel or roles] explicitly approve the removal of the system or system components from organizational facilities for off-site maintenance, repair, or replacement;
3. Sanitize equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance, repair, or replacement;
4. Check all potentially impacted security and privacy controls to verify that the controls are still functioning properly following maintenance, repair, or replacement actions; and
5. Include [Assignment: organization-defined maintenance-related information] in organizational maintenance

Supplemental Guidance: This control addresses the information security aspects of the system maintenance program and applies to all types of maintenance to any system component (hardware, firmware, applications) conducted by any local or nonlocal entity. System maintenance also includes those components not directly associated with information processing and/or data or information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example, date and time of maintenance; name of individuals or group performing the maintenance; name of escort, if necessary; a description of the maintenance performed; and system components or 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 systems. Organizations consider supply chain issues associated with replacement components for systems.

Related Controls: CM-3, CM-4, CM-5, MA-4, MP-6, PE-16, SA-12, SA-19, SI-2.

Control Enhancements:

• CONTROLLED MAINTENANCE | RECORD CONTENT

[Withdrawn: Incorporated into MA-2].

• CONTROLLED MAINTENANCE | AUTOMATED MAINTENANCE ACTIVITIES
  • Employ automated mechanisms to schedule, conduct, and document maintenance, repair, and replacement actions for the system or system components; and
  • Produce up-to date, accurate, and complete records of all maintenance, repair, and replacement actions requested, scheduled, in process, and

Supplemental Guidance: None.

Related Controls: MA-3.

References: NIST Interagency Report 8023.

 

MA-3    MAINTENANCE TOOLS

Control:

1. Approve, control, and monitor the use of system maintenance tools; and
2. Review previously approved system maintenance tools [Assignment: organization-defined frequency].

Supplemental Guidance: This control addresses security-related issues associated with maintenance tools that are not within organizational system boundaries but are used specifically for diagnostic and repair actions on organizational systems. Organizations have flexibility in determining roles for approval of maintenance tools and how that approval is documented. Periodic review of system maintenance tools facilitates withdrawal of the approval for outdated, unsupported, irrelevant, or no-longer-used tools. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, intentionally or unintentionally, into a facility and subsequently into systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware and software

 

packet sniffers. This control does not cover hardware or software components that support system maintenance and are a part of the system, for example, the software implementing “ping,” “ls,” “ipconfig,” or the hardware and software implementing the monitoring port of an Ethernet switch.

Related Controls: MA-2, PE-16.

Control Enhancements:

• MAINTENANCE TOOLS | INSPECT TOOLS

Inspect the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.

Supplemental Guidance: If, upon inspection of maintenance tools, organizations determine that the tools have been modified in an improper/unauthorized manner or contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.

Related Controls: SI-7.

• MAINTENANCE TOOLS | INSPECT MEDIA

Check media containing diagnostic and test programs for malicious code before the media are used in the system.

Supplemental Guidance: If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures.

Related Controls: SI-3.

• MAINTENANCE TOOLS | PREVENT UNAUTHORIZED REMOVAL

Prevent the removal of maintenance equipment containing organizational information by:

• Verifying that there is no organizational information contained on the equipment;
• Sanitizing or destroying the equipment;
• Retaining the equipment within the facility; or
• Obtaining an exemption from [Assignment: organization-defined personnel or roles] explicitly authorizing removal of the equipment from the

Supplemental Guidance: Organizational information includes all information specifically owned by organizations and information provided to organizations in which organizations serve as information stewards.

Related Controls: MP-6.

• MAINTENANCE TOOLS | RESTRICTED TOOL USE

Restrict the use of maintenance tools to authorized personnel only.

Supplemental Guidance: This control enhancement applies to systems that are used to carry out maintenance functions.

Related Controls: AC-3, AC-5, AC-6.

References: NIST Special Publication 800-88.

 

MA-4    NONLOCAL MAINTENANCE

Control:

1. Approve and monitor nonlocal maintenance and diagnostic activities;
2. Allow the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the system;
3. Employ strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;
4. Maintain records for nonlocal maintenance and diagnostic activities; and
5. Terminate session and network connections when nonlocal maintenance is

 

Supplemental Guidance: Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the system or 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. 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.

Related Controls: AC-2, AC-3, AC-6, AC-17, AU-2, AU-3, IA-2, IA-4, IA-5, IA-8, MA-2, MA-5, PL-2, SC-7, SC-10.

Control Enhancements:

• NONLOCAL MAINTENANCE | AUDITING AND REVIEW
  • Audit [Assignment: organization-defined audit events] for nonlocal maintenance and diagnostic sessions; and
  • Review the records of the maintenance and diagnostic

Supplemental Guidance: None.

Related Controls: AU-6, AU-12.

• NONLOCAL MAINTENANCE | DOCUMENT NONLOCAL MAINTENANCE

[Withdrawn: Incorporated into MA-1 and MA-4]

• NONLOCAL MAINTENANCE | COMPARABLE SECURITY AND SANITIZATION
  • Require that nonlocal maintenance and diagnostic services be performed from a system that implements a security capability comparable to the capability implemented on the system being serviced; or
  • Remove the component to be serviced from the system prior to nonlocal maintenance or diagnostic services; sanitize the component (for organizational information) before removal from organizational facilities; and after the service is performed, inspect and sanitize the component (for potentially malicious software) before reconnecting the component to the system.

Supplemental Guidance: Comparable security capability on 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 system being serviced.

Related Controls: MP-6, SI-3, SI-7.

• NONLOCAL MAINTENANCE | AUTHENTICATION AND SEPARATION OF MAINTENANCE SESSIONS

Protect nonlocal maintenance sessions by:

• Employing [Assignment: organization-defined authenticators that are replay resistant]; and
• Separating the maintenance sessions from other network sessions with the system by either:
  • Physically separated communications paths; or
  • Logically separated communications paths based upon

Supplemental Guidance: None.

Related Controls: None.

• NONLOCAL MAINTENANCE | APPROVALS AND NOTIFICATIONS
  • Require the approval of each nonlocal maintenance session by [Assignment: organization- defined personnel or roles]; and
  • Notify [Assignment: organization-defined personnel or roles] of the date and time of planned nonlocal

Supplemental Guidance: Notification may be performed by maintenance personnel. Approval of nonlocal maintenance sessions is accomplished by organizational personnel with sufficient information security and system knowledge to determine the appropriateness of the proposed maintenance.

 

Related Controls: None.

• NONLOCAL MAINTENANCE | CRYPTOGRAPHIC PROTECTION

Implement cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.

Supplemental Guidance: None.

Related Controls: SC-8, SC-13.

• NONLOCAL MAINTENANCE | REMOTE DISCONNECT VERIFICATION

Implement remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.

Supplemental Guidance: Remote disconnect verification ensures that remote connections from nonlocal maintenance sessions have been terminated and are no longer available for use.

Related Controls: AC-12.

References: FIPS Publications 140-2, 197, 201; NIST Special Publications 800-63, 800-88.

 

MA-5    MAINTENANCE PERSONNEL

Control:

1. Establish a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel;
2. Verify that non-escorted personnel performing maintenance on the system possess the required access authorizations; and
3. Designate organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access

Supplemental Guidance: This control applies to individuals performing hardware or software maintenance on organizational systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems. Technical competence of supervising individuals relates to the maintenance performed on the 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 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.

Related Controls: AC-2, AC-3, AC-5, AC-6, IA-2, IA-8, MA-4, MP-2, PE-2, PE-3, PS-7, RA-3.

Control Enhancements:

• MAINTENANCE PERSONNEL | INDIVIDUALS WITHOUT APPROPRIATE ACCESS
  • Implement procedures for the use of maintenance personnel that lack appropriate security clearances or are not U.S. citizens, that include the following requirements:
    • Maintenance 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 system by approved organizational personnel who are fully cleared, have appropriate access authorizations, and are technically qualified;
    • Prior 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 system are sanitized and all nonvolatile storage media are removed or physically disconnected from the system and secured; and
  • Develop and implement alternate security safeguards in the event a system component cannot be sanitized, removed, or disconnected from the

 

Supplemental Guidance: This control enhancement denies individuals who lack appropriate security clearances or who are not U.S. citizens, visual and electronic access to any classified or controlled unclassified information contained on organizational systems. Procedures for the use of maintenance personnel can be documented in security plans for the systems.

Related Controls: MP-6, PL-2.

• MAINTENANCE PERSONNEL | SECURITY CLEARANCES FOR CLASSIFIED SYSTEMS

Verify that personnel performing maintenance and diagnostic activities on a 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.

Supplemental Guidance: None.

Related Controls: PS-3.

• MAINTENANCE PERSONNEL | CITIZENSHIP REQUIREMENTS FOR CLASSIFIED SYSTEMS

Verify that personnel performing maintenance and diagnostic activities on a system processing, storing, or transmitting classified information are U.S. citizens.

Supplemental Guidance: None.

Related Controls: PS-3.

• MAINTENANCE PERSONNEL | FOREIGN NATIONALS

Verify that:

• Foreign nationals with appropriate security clearances are used to conduct maintenance and diagnostic activities on classified 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
• Approvals, consents, and detailed operational conditions regarding the use of foreign nationals to conduct maintenance and diagnostic activities on classified systems are fully documented within Memoranda of

Supplemental Guidance: None.

Related Controls: PS-3.

• MAINTENANCE PERSONNEL | NON-SYSTEM MAINTENANCE

Verify that non-escorted personnel performing maintenance activities not directly associated with the system but in the physical proximity of the system, have required access authorizations.

Supplemental Guidance: Personnel performing maintenance activities in other capacities not directly related to the system include, for example, physical plant personnel and janitorial personnel.

Related Controls: None.

References: None.

 

MA-6    TIMELY MAINTENANCE

Control: Obtain maintenance support and/or spare parts for [Assignment: organization-defined system components] within [Assignment: organization-defined time-period] of failure.

Supplemental Guidance: Organizations specify the 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.

Related Controls: CM-8, CP-2, CP-7, RA-7, SA-12, SA-15, SI-13.

Control Enhancements:

• TIMELY MAINTENANCE | PREVENTIVE MAINTENANCE

Perform preventive maintenance on [Assignment: organization-defined system components] at [Assignment: organization-defined time intervals].

 

Supplemental Guidance: Preventive maintenance includes proactive care and servicing of system components to maintain 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 fail.

Methods of determining what preventive (or other) failure management policies to apply include, for example, original equipment manufacturer 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.

Related Controls: None.

• TIMELY MAINTENANCE | PREDICTIVE MAINTENANCE

Perform predictive maintenance on [Assignment: organization-defined system components] at [Assignment: organization-defined time intervals].

Supplemental Guidance: Predictive 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.

Related Controls: None.

• TIMELY MAINTENANCE | AUTOMATED SUPPORT FOR PREDICTIVE MAINTENANCE

Employ automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.

Supplemental Guidance: A computerized maintenance management system maintains a database of information about the maintenance operations of organizations and automates processing equipment condition data to trigger maintenance planning, execution, and reporting.

Related Controls: None.

• TIMELY MAINTENANCE | ADEQUATE SUPPLY

Employ [Assignment: organization-defined security safeguards] to ensure an adequate supply of [Assignment: organization-defined critical system components].

Supplemental Guidance: Adversaries can attempt to impede organizational operations by disrupting the supply of critical system components or corrupting supplier operations. Organizations may track systems and component mean time to failure to mitigate the loss of temporary or permanent system function. Safeguards to ensure that adequate supplies of critical system components include, for example, the use of multiple suppliers throughout the supply chain for the identified critical components; stockpiling spare components to ensure operation during mission-critical times, and the identification of functionally-identical or similar components which may be used, if necessary.

Related Controls: SA-12, SA-19.

References: None.

 

3.4        MEDIA PROTECTION

 

Quick link to Media Protection summary table

 

MP-1     MEDIA PROTECTION POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A media protection policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the media protection policy and the associated media protection controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the media protection policy and procedures;
3. Review and update the current media protection:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the media protection procedures implement the media protection policy and controls; and
5. Develop, document, and implement remediation actions for violations of the media protection policy.

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the MP family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

MP-2     MEDIA ACCESS

Control: Restrict access to [Assignment: organization-defined types of digital and/or non-digital media] to [Assignment: organization-defined personnel or roles].

Supplemental Guidance: 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.

Related Controls: AC-19, AU-9, CP-2, CP-9, CP-10, MA-5, MP-6, MP-4, PE-2, PE-3, SC-13, SC- 34, SI-12.

Control Enhancements:

• MEDIA ACCESS | AUTOMATED RESTRICTED ACCESS

[Withdrawn: Incorporated into MP-4(2)].

• MEDIA ACCESS | CRYPTOGRAPHIC PROTECTION

[Withdrawn: Incorporated into SC-28(1)].

References: FIPS Publication 199; NIST Special Publication 800-111.

 

MP-3     MEDIA MARKING

Control:

1. Mark system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and
2. Exempt [Assignment: organization-defined types of system media] from marking if the media remain within [Assignment: organization-defined controlled areas].

Supplemental Guidance: Security marking refers to the application or use of human-readable security attributes. Security labeling refers to the application or use of security attributes regarding internal data structures within systems. System media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external or removable 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 system media reflects applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.

Related Controls: AC-16, CP-9, MP-5, PE-22, SI-12.

Control Enhancements: None.

References: FIPS Publication 199.

 

MP-4     MEDIA STORAGE

Control:

1. Physically control and securely store [Assignment: organization-defined types of digital and/or non-digital media] within [Assignment: organization-defined controlled areas]; and
2. Protect system media until the media are destroyed or sanitized using approved equipment, techniques, and

Supplemental Guidance: System media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external or removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling 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 stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet; or a controlled media library. The type of media storage employed

 

by organizations is commensurate with the security category or classification of the information residing on the media. Controlled areas are areas that provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and systems. For media containing information determined 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.

Related Controls: AC-19, CP-2, CP-6, CP-9, CP-10, MP-2, MP-7, PE-3, PL-2, SC-13, SC-28, SC- 34, SI-12.

Control Enhancements:

• MEDIA STORAGE | CRYPTOGRAPHIC PROTECTION

[Withdrawn: Incorporated into SC-28(1)].

• MEDIA STORAGE | AUTOMATED RESTRICTED ACCESS

Employ automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.

Supplemental Guidance: Automated mechanisms can include, for example, keypads or card readers on the external entries to media storage areas.

Related Controls: AC-3, AU-2, AU-6, AU-9, AU-12, PE-3.

References: FIPS Publication 199; NIST Special Publications 800-56A, 800-56B, 800-56C, 800- 57-1, 800-57-2, 800-57-3, 800-111.

 

MP-5     MEDIA TRANSPORT

Control:

1. Protect and control [Assignment: organization-defined types of system media] during transport outside of controlled areas using [Assignment: organization-defined security safeguards];
2. Maintain accountability for system media during transport outside of controlled areas;
3. Document activities associated with the transport of system media; and
4. Restrict the activities associated with the transport of system media to authorized

Supplemental Guidance: 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, microfilm and paper. Controlled areas are areas or spaces for which organizations provide sufficient physical or procedural safeguards to meet requirements established for protecting information and 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. 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 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.

Related Controls: AC-7, AC-19, CP-2, CP-9, MP-3, MP-4, PE-16, PL-2, SC-13, SC-28, SC-34.

 

Control Enhancements:

• MEDIA TRANSPORT | PROTECTION OUTSIDE OF CONTROLLED AREAS

[Withdrawn: Incorporated into MP-5].

• MEDIA TRANSPORT | DOCUMENTATION OF ACTIVITIES

[Withdrawn: Incorporated into MP-5].

• MEDIA TRANSPORT | CUSTODIANS

Employ an identified custodian during transport of system media outside of controlled areas.

Supplemental Guidance: Identified 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 if an unambiguous custodian is identified at all times.

Related Controls: None.

• MEDIA TRANSPORT | CRYPTOGRAPHIC PROTECTION

[Withdrawn: Incorporated into SC-28(1)].

References: FIPS Publication 199; NIST Special Publication 800-60-1, 800-60-2.

 

MP-6     MEDIA SANITIZATION

Control:

1. Sanitize [Assignment: organization-defined system media] prior to disposal, release out of organizational control, or release for reuse using [Assignment: organization-defined sanitization techniques and procedures]; and
2. Employ sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the

Supplemental Guidance: This control applies to all system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include: digital media found in scanners, copiers, printers, notebook computers, workstations, network components, mobile devices; and non-digital media such as paper and microfilm. 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, destruction, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections or words in a manner equivalent in effectiveness to removing them from the document. NARA policy and guidance control the sanitization process for controlled unclassified information. NSA standards and policies control the sanitization process for media containing classified information.

Related Controls: AC-3, AC-7, AU-11, MA-2, MA-3, MA-4, MA-5, SI-12, SI-18.

Control Enhancements:

• MEDIA SANITIZATION | REVIEW, APPROVE, TRACK, DOCUMENT, AND VERIFY

Review, approve, track, document, and verify media sanitization and disposal actions.

Supplemental Guidance: Organizations review and approve media to be sanitized to ensure compliance with records-retention policies. Tracking and 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 the disposal actions taken.

Organizations verify that the sanitization of the media was effective prior to disposal.

Related Controls: None.

• MEDIA SANITIZATION | EQUIPMENT TESTING

Test sanitization equipment and procedures [Assignment: organization-defined frequency] to verify that the intended sanitization is being achieved.

Supplemental Guidance: Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities including, for example, federal agencies or external service providers.

Related Controls: None.

• MEDIA SANITIZATION | NONDESTRUCTIVE TECHNIQUES

Apply nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the system under the following circumstances: [Assignment: organization-defined circumstances requiring sanitization of portable storage devices].

Supplemental Guidance: Portable storage devices can be the source of malicious code insertions into organizational systems. Many of these devices are obtained from untrustworthy sources and may contain malicious code that can be readily transferred to systems through USB ports or other entry portals. While scanning storage devices is recommended, sanitization provides additional assurance that such devices are free of malicious code. Organizations consider nondestructive sanitization of portable storage devices when these devices are purchased from manufacturers or vendors prior to initial use or when organizations cannot maintain a positive chain of custody for the devices.

Related Controls: None.

• MEDIA SANITIZATION | CONTROLLED UNCLASSIFIED INFORMATION

[Withdrawn: Incorporated into MP-6].

• MEDIA SANITIZATION | CLASSIFIED INFORMATION

[Withdrawn: Incorporated into MP-6].

• MEDIA SANITIZATION | MEDIA DESTRUCTION

[Withdrawn: Incorporated into MP-6].

• MEDIA SANITIZATION | DUAL AUTHORIZATION

Enforce dual authorization for the sanitization of [Assignment: organization-defined system media].

Supplemental Guidance: Organizations employ dual authorization to ensure that system media sanitization cannot occur unless two technically qualified individuals conduct the designated task. Individuals sanitizing system media possess sufficient skills and expertise to determine if the proposed sanitization reflects applicable federal and 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.

Related Controls: AC-3, MP-2.

• MEDIA SANITIZATION | REMOTE PURGING OR WIPING OF INFORMATION

Provide the capability to purge or wipe information from [Assignment: organization-defined systems or system components] either remotely or under the following conditions: [Assignment: organization-defined conditions].

Supplemental Guidance: This control enhancement protects data/information on organizational systems and system components if such systems or components 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 or 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.

 

Related Controls: None.

• MEDIA SANITIZATION | DESTRUCTION OF PERSONALLY IDENTIFIABLE INFORMATION

Facilitate the destruction of personally identifiable information by:

• De-identifying the personally identifiable information;
• Proactively reviewing media to actively find personally identifiable information and removing such information; and
• Reviewing media as it is being archived or disposed to find and remove personally identifiable information.

Supplemental Guidance: Disposal or destruction of media containing personally identifiable information applies to originals, copies, and archived records, including system logs that may contain such information. De-identification is the general term for any process of removing the association between a set of identifying data and the data subject and is accomplished in a manner that prevents loss, theft, misuse, or unauthorized access.

Related Controls: SI-20.

References: FIPS Publication 199; NIST Special Publications 800-60-1, 800-60-2, 800-88, 800-

124; NIST Interagency Report 8023.

 

MP-7     MEDIA USE

Control:

1. [Selection: Restrict; Prohibit] the use of [Assignment: organization-defined types of system media] on [Assignment: organization-defined systems or system components] using [Assignment: organization-defined security safeguards]; and
2. Prohibit the use of portable storage devices in organizational systems when such devices have no identifiable owner.

Supplemental Guidance: System media includes digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external or 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. In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards to restrict the use of 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 or 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.

Requiring identifiable owners for portable storage devices reduces the risk of using such devices by allowing organizations to assign responsibility for addressing known vulnerabilities in the devices.

Related Controls: AC-19, AC-20, PL-4, PM-12, SC-34, SC-41.

Control Enhancements:

• MEDIA USE | PROHIBIT USE WITHOUT OWNER

[Withdrawn: Incorporated into MP-7].

• MEDIA USE | PROHIBIT USE OF SANITIZATION-RESISTANT MEDIA

Prohibit the use of sanitization-resistant media in organizational systems.

Supplemental Guidance: Sanitization-resistance refers to non-destructive sanitization techniques and 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.

Related Controls: MP-6.

References: FIPS Publication 199; NIST Special Publication 800-111.

 

MP-8     MEDIA DOWNGRADING

Control:

1. Establish [Assignment: organization-defined system media downgrading process] that includes employing downgrading mechanisms with strength and integrity commensurate with the security category or classification of the information;
2. Verify that the 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;
3. Identify [Assignment: organization-defined system media requiring downgrading]; and
4. Downgrade the identified system media using the established

Supplemental Guidance: This control applies to all system media, digital and non-digital, subject to release outside of the organization, whether the media is considered removable or not removeable. 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. It also ensures that empty space on the media is devoid of information.

Control Enhancements:

• MEDIA DOWNGRADING | DOCUMENTATION OF PROCESS

Document system media downgrading actions.

Supplemental Guidance: Organizations 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.

Related Controls: None.

• MEDIA DOWNGRADING | EQUIPMENT TESTING

Test downgrading equipment and procedures [Assignment: organization-defined frequency] to verify that intended downgrading actions are being achieved.

Supplemental Guidance: None.

Related Controls: None.

• MEDIA DOWNGRADING | CONTROLLED UNCLASSIFIED INFORMATION

Downgrade system media containing [Assignment: organization-defined Controlled Unclassified Information (CUI)] prior to public release.

Supplemental Guidance: None.

Related Controls: None.

• MEDIA DOWNGRADING | CLASSIFIED INFORMATION

Downgrade system media containing classified information prior to release to individuals without required access authorizations.

Supplemental Guidance: Downgrading of classified information uses approved sanitization tools, techniques, and procedures to transfer information confirmed to be unclassified from classified systems to unclassified media.

Related Controls: None.

References: None.

 

3.5        PRIVACY AUTHORIZATION

 

Quick link to Privacy Authorization summary table

 

PA-1      PRIVACY AUTHORIZATION POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A privacy authorization policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the privacy authorization policy and the associated privacy authorization controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the privacy authorization policy and procedures;
3. Review and update the current privacy authorization:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the privacy authorization procedures implement the privacy authorization policy and controls; and
5. Develop, document, and implement remediation actions for violations of the privacy authorization

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the PA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PA-2, PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

PA-2      AUTHORITY TO COLLECT

Control: Determine and document the legal authority that permits the collection, use, maintenance, and sharing of personally identifiable information, either generally or in support of a specific program or system need.

 

Supplemental Guidance: Prior to collecting personally identifiable information, organizations determine whether the collection of such information is legally authorized. Organizational officials consult with the Senior Agency Official for Privacy and legal counsel regarding the authority of any program or activity to collect personally identifiable information. The authority to collect personally identifiable information is documented in the System of Records Notice and/or Privacy Impact Assessment or other applicable documentation such as Privacy Act Statements or Computer Matching Agreements.

Related Controls: IP-4, IP-6, PA-1, PA-3, PM-9, PM-20, PM-25, RA-8, SI-12.

Control Enhancements: None.

References: None.

 

PA-3      PURPOSE SPECIFICATION

Control: Identify and document the purpose(s) for which personally identifiable information is collected, used, maintained, and shared in its privacy notices.

Supplemental Guidance: Statutory language often expressly authorizes specific collections and uses of personally identifiable information. When statutory language is written broadly and thus subject to interpretation, organizations consult with the Senior Agency Official for Privacy and legal counsel to verify that there is a close nexus between the general authorization and any specific collection of personally identifiable information. Once the specific purpose has been identified, the purpose is clearly described in the related privacy compliance documentation, including, for example, Privacy Impact Assessments, System of Records Notices, and Privacy Act Statements provided at the time of collection including, for example, on forms organizations use to collect personally identifiable information. Further, in order to avoid unauthorized collections or uses of personally identifiable information, personnel who manage such information receive role-based training as specified in AT-3.

Related Controls: IP-4, IP-5, IP-6, PA-2, PA-4, PM-9, PM-20, PM-26, RA-8, SC-43, SI-12.

Control Enhancements:

• PURPOSE SPECIFICATION | USAGE RESTRICTIONS OF PERSONALLY IDENTIFIABLE INFORMATION

Restrict the use of personally identifiable information to only the authorized purpose(s) consistent with applicable laws or regulations and/or in public notices.

Supplemental Guidance: Organizations take steps to help ensure that personally identifiable information is used only for legally authorized purposes and in a manner, compatible with the uses identified in the Privacy Act and/or in public notices. These steps include, for example, monitoring and auditing organizational use of personally identifiable information and training organizational personnel on the authorized uses of such information. With guidance from the Senior Agency Official for Privacy and where appropriate, legal counsel, organizations document the processes and procedures for evaluating the proposed new uses of personally identifiable information to assess whether such uses fall within the scope of the organizational authorities. Where appropriate, organizations obtain consent from individuals for the new uses of personally identifiable information.

Related Controls: None.

• PURPOSE SPECIFICATION | AUTOMATION

Employ automated mechanisms to support records management of authorizing policies and procedures for personally identifiable information.

Supplemental Guidance: Automated mechanisms may be used to support records management of authorizing policies and procedures for personally identifiable information. Automated mechanisms augment verification that organizational policies and procedures are enforced for the management and tracking of personally identifiable information within an organization’s systems.

Related Controls: CA-6, CM-12, IP-5, PM-29, PM-23, SC-16, SC-43, SI-12, SI-10, SI-15, SI- 20, SI-19.

 

References: None.

 

PA-4      INFORMATION SHARING WITH EXTERNAL PARTIES

Control:

1. Develop, document, and disseminate guidelines to [Assignment: organization-defined personnel or roles] for the sharing of personally identifiable information externally, only for the authorized purposes identified in the Privacy Act and/or described in its notices, or for a purpose that is compatible with those purposes;
2. Evaluate proposed new instances of sharing personally identifiable information with external parties to assess whether:
   1. The sharing is authorized; and
   2. Additional or new public notice is required;
3. Enter into information sharing agreements with external parties that specifically:
   1. Describe the personally identifiable information covered;
   2. Enumerate the purpose(s) for which the personally identifiable information may be used; and
   3. Include security requirements consistent with the information being shared; and
4. Monitor and audit the authorized sharing of personally identifiable information with external parties.

Supplemental Guidance: The Senior Agency Official for Privacy and where appropriate, legal counsel, review and approve proposed external sharing of personally identifiable information, including with other public, international, or private sector entities, for consistency with the uses described in the existing organizational public notice(s). Formal agreements for information sharing include, for example, Memoranda of Understanding, Letters of Intent, Memoranda of Agreement, and Computer Matching Agreements. When a proposed new instance of external sharing of personally identifiable information is not currently authorized by the Privacy Act and/or specified in a notice, organizations evaluate whether the proposed external sharing is compatible with the purpose(s) specified in the notice. If the proposed sharing is compatible, organizations review, update, and republish the Privacy Impact Assessments, System of Records Notices, website privacy policies, and other public notices, if any, to include specific descriptions of the new use(s) and obtain consent where appropriate and feasible.

Related Controls: IP-4, PM-25. Control Enhancements: None. References: None.

 

3.6        PHYSICAL AND ENVIRONMENTAL PROTECTION

 

Quick link to Physical and Environmental Protection summary table

 

PE-1      PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A physical and environmental protection policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the physical and environmental protection policy and the associated physical and environmental protection controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the physical and environmental protection policy and procedures;
3. Review and update the current physical and environmental protection:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the physical and environmental protection procedures implement the physical and environmental protection policy and controls; and
5. Develop, document, and implement remediation actions for violations of the physical and environmental protection

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the PE family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: AT-3, PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

PE-2      PHYSICAL ACCESS AUTHORIZATIONS

Control:

1. Develop, approve, and maintain a list of individuals with authorized access to the facility where the system resides;
2. Issue authorization credentials for facility access;

 

1. Review the access list detailing authorized facility access by individuals [Assignment: organization-defined frequency]; and
2. Remove individuals from the facility access list when access is no longer

Supplemental Guidance: This control applies to employees and visitors. Individuals 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 consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines. This control only applies to areas within facilities that have not been designated as publicly accessible.

Related Controls: AT-3, AU-9, IA-4, MA-5, MP-2, PE-3, PE-4, PE-5, PE-8, PM-12, PS-3, PS-4, PS-5, PS-6.

Control Enhancements:

• PHYSICAL ACCESS AUTHORIZATIONS | ACCESS BY POSITION OR ROLE

Authorize physical access to the facility where the system resides based on position or role.

Supplemental Guidance: None.

Related Controls: AC-2, AC-3, AC-6.

• PHYSICAL ACCESS AUTHORIZATIONS | TWO FORMS OF IDENTIFICATION

Require two forms of identification from [Assignment: organization-defined list of acceptable forms of identification] for visitor access to the facility where the system resides.

Supplemental Guidance: Acceptable forms of identification include, for example, passports, Personal Identity Verification (PIV) cards, and drivers’ licenses. For gaining access to facilities using automated mechanisms, organizations may use PIV cards, key cards, PINs, and biometrics.

Related Controls: IA-2, IA-4, IA-5.

• PHYSICAL ACCESS AUTHORIZATIONS | RESTRICT UNESCORTED ACCESS

Restrict unescorted access to the facility where the system resides to personnel with [Selection (one or more): security clearances for all information contained within the system; formal access authorizations for all information contained within the system; need for access to all information contained within the system; [Assignment: organization-defined credentials]].

Supplemental Guidance: Due 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.

Related Controls: PS-2, PS-6.

References: FIPS Publication 201; NIST Special Publications 800-76, 800-73, 800-78.

 

PE-3      PHYSICAL ACCESS CONTROL

Control:

1. Enforce physical access authorizations at [Assignment: organization-defined entry and exit points to the facility where the system resides] by;
   1. Verifying individual access authorizations before granting access to the facility; and
   2. Controlling ingress and egress to the facility using [Selection (one or more):

[Assignment: organization-defined physical access control systems or devices]; guards];

1. Maintain physical access audit logs for [Assignment: organization-defined entry/exit points];
2. Provide [Assignment: organization-defined security safeguards] to control access to areas within the facility designated as publicly accessible;
3. Escort visitors and monitor visitor activity [Assignment: organization-defined circumstances requiring visitor escorts and monitoring];

 

1. Secure keys, combinations, and other physical access devices;
2. Inventory [Assignment: organization-defined physical access devices] every [Assignment: organization-defined frequency]; and
3. Change combinations and keys [Assignment: organization-defined frequency] and/or when keys are lost, combinations are compromised, or individuals are transferred or

Supplemental Guidance: This control applies to employees and visitors. Individuals with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional security staff, administrative staff, or system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Physical access control systems comply with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural, automated, or some combination thereof. Physical access points can include facility access points, interior access points to systems or system components requiring supplemental access controls, or both. Components of systems may be in areas designated as publicly accessible with organizations safeguarding access to such devices.

Related Controls: AT-3, AU-2, AU-6, AU-9, AU-13, CP-10, IA-3, IA-8, MA-5, MP-2, MP-4, PE-2,

PE-4, PE-5, PE-8, PS-2, PS-3, PS-7, RA-3, SA-19, SC-28, SI-4.

Control Enhancements:

• PHYSICAL ACCESS CONTROL | SYSTEM ACCESS

Enforce physical access authorizations to the system in addition to the physical access controls for the facility at [Assignment: organization-defined physical spaces containing one or more components of the system].

Supplemental Guidance: This control enhancement provides additional physical security for those areas within facilities where there is a concentration of system components.

Related Controls: PS-2.

• PHYSICAL ACCESS CONTROL | FACILITY AND SYSTEM BOUNDARIES

Perform security checks [Assignment: organization-defined frequency] at the physical boundary of the facility or system for exfiltration of information or removal of system components.

Supplemental Guidance: Organizations determine the extent, frequency, and/or randomness of security checks to adequately mitigate risk associated with exfiltration.

Related Controls: AC-4, SC-7.

• PHYSICAL ACCESS CONTROL | CONTINUOUS GUARDS

Employ guards to control [Assignment: organization-defined physical access points] to the facility where the system resides 24 hours per day, 7 days per week.

Supplemental Guidance: None.

Related Controls: CP-6, CP-7, PE-6.

• PHYSICAL ACCESS CONTROL | LOCKABLE CASINGS

Use lockable physical casings to protect [Assignment: organization-defined system components] from unauthorized physical access.

Supplemental Guidance: None.

Related Controls: None.

• PHYSICAL ACCESS CONTROL | TAMPER PROTECTION

Employ [Assignment: organization-defined security safeguards] to [Selection (one or more): detect; prevent] physical tampering or alteration of [Assignment: organization-defined hardware components] within the system.

Supplemental Guidance: Organizations implement tamper detection and prevention at selected hardware components or tamper detection at some components and tamper prevention at other components. Such detection and 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.

Related Controls: SA-12, SA-16, SA-18.

• PHYSICAL ACCESS CONTROL | FACILITY PENETRATION TESTING

[Withdrawn: Incorporated into CA-8].

• PHYSICAL ACCESS CONTROL | PHYSICAL BARRIERS

Limit access using physical barriers.

Supplemental Guidance: Physical barriers include, for example, bollards, concrete slabs, jersey walls, and hydraulic active vehicle barriers.

Related Controls: None.

References: FIPS Publication 201; NIST Special Publications 800-73, 800-76, 800-78, 800-116.

 

PE-4      ACCESS CONTROL FOR TRANSMISSION

Control: Control physical access to [Assignment: organization-defined system distribution and transmission lines] within organizational facilities using [Assignment: organization-defined security safeguards].

Supplemental Guidance: Security safeguards applied to system distribution and transmission lines prevent accidental damage, disruption, and physical tampering. Such safeguards may also be necessary to help prevent eavesdropping or modification of unencrypted transmissions. Safeguards used to control physical access to system distribution and transmission lines include, for example, locked wiring closets; disconnected or locked spare jacks; protection of cabling by conduit or cable trays; and wiretapping sensors.

Related Controls: AT-3, IA-4, MP-2, MP-4, PE-2, PE-3, PE-5, PE-9, SC-7, SC-8.

Control Enhancements: None.

References: None.

 

PE-5      ACCESS CONTROL FOR OUTPUT DEVICES

Control: Control physical access to output from [Assignment: organization-defined output devices] to prevent unauthorized individuals from obtaining the output.

Supplemental Guidance: Controlling 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; placing output devices in locations that can be monitored by organizational personnel; installing monitor or screen filters; and using headphones. Output devices include, for example, monitors, printers, copiers, scanners, facsimile machines, and audio devices.

Related Controls: PE-2, PE-3, PE-4, PE-18.

Control Enhancements:

• ACCESS CONTROL FOR OUTPUT DEVICES | ACCESS TO OUTPUT BY AUTHORIZED INDIVIDUALS

Verify that only authorized individuals receive output from output devices.

Supplemental Guidance: Methods to ensure only authorized individuals receive output from output devices include, for example, placing printers, copiers, and facsimile machines in controlled areas with keypad or card reader access controls; and limiting access to individuals with certain types of badges.

Related Controls: None.

• ACCESS CONTROL FOR OUTPUT DEVICES | ACCESS TO OUTPUT BY INDIVIDUAL IDENTITY

Link individual identity to receipt of output from output devices.

 

Supplemental Guidance: Methods to link individual identity to receipt of output from output devices include, for example, installing security functionality on facsimile machines, copiers, and printers. Such functionality allows organizations to implement authentication on output devices prior to the release of output to individuals.

Related Controls: None.

• ACCESS CONTROL FOR OUTPUT DEVICES | MARKING OUTPUT DEVICES

Mark [Assignment: organization-defined system output devices] indicating the appropriate security marking of the information permitted to be output from the device.

Supplemental Guidance: Outputs devices include, for example, printers, monitors, facsimile machines, scanners, copiers, and audio devices.

Related Controls: None.

References: NIST Interagency Report 8023.

 

PE-6      MONITORING PHYSICAL ACCESS

Control:

1. Monitor physical access to the facility where the system resides to detect and respond to physical security incidents;
2. Review physical access logs [Assignment: organization-defined frequency] and upon occurrence of [Assignment: organization-defined events or potential indications of events]; and
3. Coordinate results of reviews and investigations with the organizational incident response capability.

Supplemental Guidance: Monitoring of physical access includes publicly accessible areas within organizational facilities. This can be accomplished for example, by the employment of guards; the use of video surveillance equipment such as cameras; or the use of sensor devices. Organizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, security violations or suspicious physical access activities. Suspicious physical access activities include, for example, accesses outside of normal work hours; repeated accesses to areas not normally accessed; accesses for unusual lengths of time; and out-of-sequence accesses.

Related Controls: AU-6, AU-9, CA-7, CP-10, IR-4, IR-8.

Control Enhancements:

• MONITORING PHYSICAL ACCESS | INTRUSION ALARMS AND SURVEILLANCE EQUIPMENT

Monitor physical access to the facility where the system resides using physical intrusion alarms and surveillance equipment.

Supplemental Guidance: None.

Related Controls: None.

• MONITORING PHYSICAL ACCESS | AUTOMATED INTRUSION RECOGNITION AND RESPONSES

Employ automated mechanisms to recognize [Assignment: organization-defined classes or types of intrusions] and initiate [Assignment: organization-defined response actions].

Supplemental Guidance: None.

Related Controls: SI-4.

• MONITORING PHYSICAL ACCESS | VIDEO SURVEILLANCE

Employ video surveillance of [Assignment: organization-defined operational areas] and retain video recordings for [Assignment: organization-defined time-period].

Supplemental Guidance: This control enhancement focuses on recording surveillance video for purposes of subsequent review, if circumstances so warrant. 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.

Related Controls: None.

• MONITORING PHYSICAL ACCESS | MONITORING PHYSICAL ACCESS TO SYSTEMS

Monitor physical access to the system in addition to the physical access monitoring of the facility at [Assignment: organization-defined physical spaces containing one or more components of the system].

Supplemental Guidance: This control enhancement provides additional monitoring for those areas within facilities where there is a concentration of system components including, for example, server rooms, media storage areas, and communications centers.

Related Controls: None.

References: None.

 

PE-7      VISITOR CONTROL

[Withdrawn: Incorporated into PE-2 and PE-3].

 

PE-8      VISITOR ACCESS RECORDS

Control:

1. Maintain visitor access records to the facility where the system resides for [Assignment: organization-defined time-period]; and
2. Review visitor access records [Assignment: organization-defined frequency].

Supplemental Guidance: Visitor access records include, for example, names and organizations of persons visiting; visitor signatures; forms of identification; dates of access; entry and departure times; purpose of visits; and names and organizations of persons visited. Access records are not required for publicly accessible areas.

Control Enhancements:

• VISITOR ACCESS RECORDS | AUTOMATED RECORDS MAINTENANCE AND REVIEW

Employ automated mechanisms to facilitate the maintenance and review of visitor access records.

Supplemental Guidance: None.

Related Controls: None.

• VISITOR ACCESS RECORDS | PHYSICAL ACCESS RECORDS

[Withdrawn: Incorporated into PE-2].

References: None.

 

PE-9      POWER EQUIPMENT AND CABLING

Control: Protect power equipment and power cabling for the system from damage and destruction.

Supplemental Guidance: Organizations determine the types of protection necessary for the 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.

Related Controls: PE-4.

Control Enhancements:

• POWER EQUIPMENT AND CABLING | REDUNDANT CABLING

Employ redundant power cabling paths that are physically separated by [Assignment: organization-defined distance].

 

Supplemental Guidance: Physically separate and redundant power cables ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.

Related Controls: None.

• POWER EQUIPMENT AND CABLING | AUTOMATIC VOLTAGE CONTROLS

Employ automatic voltage controls for [Assignment: organization-defined critical system components].

Supplemental Guidance: Automatic voltage controls can monitor and control voltage. Such controls include, for example, voltage regulators, voltage conditioners, and voltage stabilizers.

Related Controls: None.

References: None.

 

PE-10    EMERGENCY SHUTOFF

Control:

1. Provide the capability of shutting off power to the system or individual system components in emergency situations;
2. Place emergency shutoff switches or devices in [Assignment: organization-defined location by system or system component] to facilitate safe and easy access for personnel; and
3. Protect emergency power shutoff capability from unauthorized

Supplemental Guidance: This control applies primarily to facilities containing concentrations of system resources including, for example, data centers, server rooms, rooms/buildings containing computer-controlled machinery, and mainframe computer rooms.

Related Controls: PE-15.

Control Enhancements:

(1) EMERGENCY SHUTOFF | ACCIDENTAL AND UNAUTHORIZED ACTIVATION

[Withdrawn: Incorporated into PE-10].

References: None.

 

PE-11    EMERGENCY POWER

Control: Provide a short-term uninterruptible power supply to facilitate [Selection (one or more): an orderly shutdown of the system; transition of the system to long-term alternate power] in the event of a primary power source loss.

Supplemental Guidance: None. Related Controls: AT-3, CP-2, CP-7. Control Enhancements:

• EMERGENCY POWER | LONG-TERM ALTERNATE POWER SUPPLY — MINIMAL OPERATIONAL CAPABILITY

Provide a long-term alternate power supply for the system that can maintain minimally required operational capability in the event of an extended loss of the primary power source.

Supplemental Guidance: This control enhancement can be satisfied, for example, by using a secondary commercial power supply or other external power supply. The long-term alternate power supplies for organizational systems are either manually or automatically activated.

Related Controls: None.

• EMERGENCY POWER | LONG-TERM ALTERNATE POWER SUPPLY — SELF-CONTAINED

Provide a long-term alternate power supply for the system that is:

• Self-contained;
• Not reliant on external power generation; and

 

• Capable of maintaining [Selection: minimally required operational capability; full operational capability] in the event of an extended loss of the primary power

Supplemental Guidance: This control enhancement can be satisfied, for example, by using one or more generators with sufficient capacity to meet the needs of the organization. Long-term alternate power supplies for organizational systems are either manually or automatically activated.

Related Controls: None.

References: None.

 

PE-12    EMERGENCY LIGHTING

Control: Employ and maintain automatic emergency lighting for the system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.

Supplemental Guidance: This control applies primarily to facilities containing concentrations of system resources including, for example, data centers, server rooms, and mainframe computer rooms.

Related Controls: CP-2, CP-7.

Control Enhancements:

(1) EMERGENCY LIGHTING | ESSENTIAL MISSIONS AND BUSINESS FUNCTIONS

Provide emergency lighting for all areas within the facility supporting essential missions and business functions.

Supplemental Guidance: None.

Related Controls: None.

References: None.

 

PE-13    FIRE PROTECTION

Control: Employ and maintain fire suppression and detection devices/systems for the system that are supported by an independent energy source.

Supplemental Guidance: This control applies primarily to facilities containing concentrations of system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices or systems that may require an independent energy source include, for example, sprinkler systems, fixed fire hoses, and smoke detectors.

Related Controls: AT-3.

Control Enhancements:

• FIRE PROTECTION | DETECTION DEVICES AND SYSTEMS

Employ fire detection devices/systems for the system that activate automatically and notify [Assignment: organization-defined personnel or roles] and [Assignment: organization-defined emergency responders] in the event of a fire.

Supplemental Guidance: Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are systems containing classified information.

Related Controls: None.

• FIRE PROTECTION | AUTOMATIC SUPPRESSION DEVICES AND SYSTEMS
  • Employ fire suppression devices/systems for the system that provide automatic notification of any activation to [Assignment: organization-defined personnel or roles] and [Assignment: organization-defined emergency responders]; and
  • Employ an automatic fire suppression capability for the system when the facility is not staffed on a continuous

 

Supplemental Guidance: Organizations can identify specific personnel, roles, and emergency responders if individuals on the notification list need to have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are systems containing classified information.

Related Controls: None.

• FIRE PROTECTION | AUTOMATIC FIRE SUPPRESSION

[Withdrawn: Incorporated into PE-13(2)].

• FIRE PROTECTION | INSPECTIONS

Verify that the facility undergoes [Assignment: organization-defined frequency] fire protection inspections by authorized and qualified inspectors and resolves identified deficiencies within [Assignment: organization-defined time-period].

Supplemental Guidance: None.

Related Controls: None.

References: None.

 

PE-14    TEMPERATURE AND HUMIDITY CONTROLS

Control:

1. Maintain temperature and humidity levels within the facility where the system resides at [Assignment: organization-defined acceptable levels]; and
2. Monitor temperature and humidity levels [Assignment: organization-defined frequency].

Supplemental Guidance: This control applies primarily to facilities containing concentrations of system resources, for example, data centers, server rooms, and mainframe computer rooms.

Related Controls: AT-3, CP-2.

Control Enhancements:

• TEMPERATURE AND HUMIDITY CONTROLS | AUTOMATIC CONTROLS

Employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the system.

Supplemental Guidance: None.

Related Controls: None.

• TEMPERATURE AND HUMIDITY CONTROLS | MONITORING WITH ALARMS AND NOTIFICATIONS

Employ temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment to [Assignment: organization-defined personnel or roles].

Supplemental Guidance: None.

Related Controls: None.

References: None.

 

PE-15    WATER DAMAGE PROTECTION

Control: Protect the system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.

Supplemental Guidance: This control applies primarily to facilities containing concentrations of 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.

Related Controls: AT-3, PE-10.

 

Control Enhancements:

(1) WATER DAMAGE PROTECTION | AUTOMATION SUPPORT

Employ automated mechanisms to detect the presence of water near the system and alert [Assignment: organization-defined personnel or roles].

Supplemental Guidance: Automated mechanisms include, for example, water detection sensors, alarms, and notification systems.

Related Controls: None.

References: None.

 

PE-16    DELIVERY AND REMOVAL

Control: Authorize, monitor, and control [Assignment: organization-defined types of system components] entering and exiting the facility and maintain records of those items.

Supplemental Guidance: Enforcing authorizations for entry and exit of system components may require restricting access to delivery areas and isolating the areas from the system and media libraries.

Related Controls: CM-3, MA-2, MA-3, MP-5, SA-12.

Control Enhancements: None.

References: None.

 

PE-17    ALTERNATE WORK SITE

Control:

1. Determine and document the [Assignment: organization-defined alternate work sites] allowed for use by employees;
2. Employ [Assignment: organization-defined security and privacy controls] at alternate work sites;
3. Assess the effectiveness of security and privacy controls at alternate work sites; and
4. Provide a means for employees to communicate with information security and privacy personnel in case of security or privacy incidents or

Supplemental Guidance: Alternate work sites include, for example, government facilities or private residences of employees. While distinct from alternative processing sites, alternate work sites can provide readily available alternate locations during contingency operations. Organizations can define different sets of 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.

Related Controls: AC-17, AC-18, CP-7.

Control Enhancements: None.

References: NIST Special Publication 800-46.

 

PE-18    LOCATION OF SYSTEM COMPONENTS

Control: Position system components within the facility to minimize potential damage from [Assignment: organization-defined physical and environmental hazards] and to minimize the opportunity for unauthorized access.

Supplemental Guidance: Physical 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. Organizations also consider the location of entry points where unauthorized individuals, while not being granted access, might

 

nonetheless be near systems. Such proximity can increase the risk of unauthorized access to organizational communications, including, for example, using wireless sniffers or microphones.

Related Controls: CP-2, PE-5, PE-19, PE-20, RA-3.

Control Enhancements:

• LOCATION OF SYSTEM COMPONENTS | FACILITY SITE
  • Plan the location or site of the facility where the system resides considering physical and environmental hazards; and
  • For existing facilities, consider the physical and environmental hazards in the organizational risk management

Supplemental Guidance: None.

Related Controls: PM-8.

References: None.

 

PE-19    INFORMATION LEAKAGE

Control: Protect the system from information leakage due to electromagnetic signals emanations.

Supplemental Guidance: Information leakage is the intentional or unintentional release of data or information to an untrusted environment from electromagnetic signals emanations. The security categories or classifications of systems (with respect to confidentiality), organizational security policies, and risk tolerance guide the selection of controls employed to protect systems against information leakage due to electromagnetic signals emanations.

Related Controls: AC-18, PE-18, PE-20.

Control Enhancements:

(1) INFORMATION LEAKAGE | NATIONAL EMISSIONS AND TEMPEST POLICIES AND PROCEDURES

Protect system components, associated data communications, and networks in accordance with national Emissions Security policies and procedures based on the security category or classification of the information.

Supplemental Guidance: Emissions Security (EMSEC) policies include the former TEMPEST policies.

Related Controls: None.

References: FIPS Publication 199.

 

PE-20    ASSET MONITORING AND TRACKING

Control: Employ [Assignment: organization-defined asset location technologies] to track and monitor the location and movement of [Assignment: organization-defined assets] within [Assignment: organization-defined controlled areas].

Supplemental Guidance: Asset location technologies can help organizations ensure that critical assets, including, for example, vehicles, equipment, or essential system components remain in authorized locations. Organizations consult with the Office of the General Counsel and the Senior Agency Official for Privacy regarding the deployment and use of asset location technologies to address potential privacy concerns.

Related Controls: CM-8, PM-8. Control Enhancements: None. References: None.

PE-21    ELECTROMAGNETIC PULSE PROTECTION

Control: Employ [Assignment: organization-defined security safeguards] against electromagnetic pulse damage for [Assignment: organization-defined systems and system components].

 

Supplemental Guidance: An electromagnetic pulse (EMP) is a short burst of electromagnetic energy that is spread over a range of frequencies. Such energy bursts may be natural or man-made. EMP interference may be disruptive or damaging to electronic equipment. Protective measures used to mitigate EMP risk include shielding, surge suppressors, ferro-resonant transformers, and earth grounding.

Related Controls: PE-18, PE-19.

Control Enhancements: None.

References: None.

 

PE-22    COMPONENT MARKING

Control: Mark [Assignment: organization-defined system hardware components] indicating the impact or classification level of the information permitted to be processed, stored, or transmitted by the hardware component.

Supplemental Guidance: Hardware components that may require marking include, for example, input devices marked to indicate the classification of the network to which they are connected or a multifunction function printer or copier residing in a classified area. Security marking refers to the application or use of human-readable security attributes. Security labeling refers to the application or use of security attributes regarding internal data structures within systems. Security marking is generally not required for hardware components processing, storing, or transmitting information determined by organizations to be in the public domain or to be publicly releasable. However, organizations may require markings for hardware components processing, storing, or transmitting public information indicating that such information is publicly releasable. The marking of system hardware components reflects applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.

Related Controls: AC-16, MP-3.

Control Enhancements: None.

References: None.

 

3.7        PLANNING

 

Quick link to Planning summary table

 

PL-1       PLANNING POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. Security and privacy planning policies that:
      • Address purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Are consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the security and privacy planning policies and the associated security and privacy planning controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the security and privacy planning policies and procedures;
3. Review and update the current security and privacy planning:
   1. Policies [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the security and privacy planning procedures implement the security and privacy planning policies and controls; and
5. Develop, document, and implement remediation actions for violations of the planning

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the PL family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policies or can be represented by multiple policies reflecting the complex nature of organizations. The procedures can be established for security and privacy programs and for systems, if needed.

Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-18, 800-30, 800-39, 800-100.

 

PL-2       SECURITY AND PRIVACY PLANS

Control:

1. Develop security and privacy plans for the system that:
   1. Are consistent with the organization’s enterprise architecture;
   2. Explicitly define the authorization boundary for the system;

 

3. Describe the operational context of the system in terms of missions and business processes;
4. Provide the security categorization of the system including supporting rationale;
5. Describe the operational environment for the system and relationships with or connections to other systems;
6. Provide an overview of the security and privacy requirements for the system;
7. Identify any relevant overlays, if applicable;
8. Describe the security and privacy controls in place or planned for meeting those requirements including a rationale for the tailoring decisions; and
9. Are reviewed and approved by the authorizing official or designated representative prior to plan implementation;

1. Distribute copies of the security and privacy plans and communicate subsequent changes to the plans to [Assignment: organization-defined personnel or roles];
2. Review the security and privacy plans [Assignment: organization-defined frequency];
3. Update the security and privacy plans to address changes to the system and environment of operation or problems identified during plan implementation or security and privacy control assessments; and
4. Protect the security and privacy plans from unauthorized disclosure and

Supplemental Guidance: Security and privacy plans relate security and privacy requirements to a set of security and privacy controls and control enhancements. The plans describe how the security and privacy controls and control enhancements meet those security and privacy requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls and control enhancements. Security and privacy 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 control baselines in Appendix D to develop overlays for community-wide use or to address specialized requirements, technologies, missions, business applications, or environments of operation.

Security and privacy plans need not be single documents. The plans can be a collection of various documents including documents that already exist. Effective security and privacy plans make extensive use of references to policies, procedures, and additional documents including, for example, design and implementation specifications where more detailed information can be obtained. This reduces the documentation associated with security and privacy programs and maintains the security- and privacy-related information in other established management and operational areas including, for example, enterprise architecture, system development life cycle, systems engineering, and acquisition. Thus, security and privacy 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.

Related Controls: AC-2, AC-6, AC-14, AC-17, AC-20, CA-2, CA-3, CA-7, CM-9, CP-2, IR-8,

MA-4, MA-5, MP-4, MP-5, PL-7, PL-8, PM-1, PM-7, PM-8, PM-9, PM-10, PM-11, RA-3, RA-9, SA-5, SA-17, SA-22, SI-12.

Control Enhancements:

• SECURITY AND PRIVACY PLANS | CONCEPT OF OPERATIONS

[Withdrawn: Incorporated into PL-7].

• SECURITY AND PRIVACY PLANS | FUNCTIONAL ARCHITECTURE

[Withdrawn: Incorporated into PL-8].

 

• SECURITY AND PRIVACY PLANS | PLAN AND COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES

Plan and coordinate security- and privacy-related activities affecting the system with [Assignment: organization-defined individuals or groups] before conducting such activities to reduce the impact on other organizational entities.

Supplemental Guidance: Security- and privacy-related activities include, for example, security and privacy assessments, audits and inspections, hardware and software maintenance, patch management, and contingency plan testing. Planning and coordination includes emergency and nonemergency (i.e., planned or non-urgent unplanned) situations. The process defined by organizations to plan and coordinate security- and privacy-related activities can be included in security and privacy plans for systems or other documents, as appropriate.

Related Controls: CP-4, IR-4.

References: NIST Special Publication 800-18.

 

PL-3       SYSTEM SECURITY PLAN UPDATE

[Withdrawn: Incorporated into PL-2].

 

PL-4       RULES OF BEHAVIOR

Control:

1. Establish and provide to individuals requiring access to the system, the rules that describe their responsibilities and expected behavior for information and system usage, security, and privacy;
2. Receive a documented 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 system;
3. Review and update the rules of behavior [Assignment: organization-defined frequency]; and
4. Require individuals who have signed a previous version of the rules of behavior to read and re-sign [Selection (one or more): [Assignment: organization-defined frequency]; when the rules are revised or updated.]

Supplemental Guidance: This 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 the general user population. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data or information from federal 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 organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4b, the documented acknowledgment portion of the control, may be satisfied by the security and privacy awareness training and the role-based security and privacy training programs conducted by organizations if such training includes rules of behavior. Documented acknowledgements for rules of behavior may include, for example, electronic or physical signatures; and electronic agreement check boxes/radio buttons.

Related Controls: AC-2, AC-6, AC-8, AC-9, AC-17, AC-18, AC-19, AC-20, AT-2, AT-3, CM-11, IA-2, IA-4, IA-5, MP-7, PS-6, PS-8, SA-5, SI-12.

Control Enhancements:

(1) RULES OF BEHAVIOR | SOCIAL MEDIA AND NETWORKING RESTRICTIONS

Include in the rules of behavior, explicit restrictions on the use of social media and networking sites and posting organizational information on public websites.

Supplemental Guidance: This control enhancement addresses rules of behavior related to the use of social media and networking sites when organizational personnel are using such sites for official duties or in the conduct of official business; when organizational information is involved in social media and networking transactions; and when personnel are accessing

 

social media and networking sites from organizational systems. Organizations also address specific rules that prevent unauthorized entities from obtaining, either directly or through inference, non-public organizational information from social media and networking sites. Examples of non-public information include system account information and personally identifiable information.

Related Controls: None.

References: NIST Special Publication 800-18.

 

PL-5       PRIVACY IMPACT ASSESSMENT

[Withdrawn: Incorporated into RA-8].

 

PL-6       SECURITY-RELATED ACTIVITY PLANNING

[Withdrawn: Incorporated into PL-2].

 

PL-7       CONCEPT OF OPERATIONS

Control:

1. Develop a Concept of Operations (CONOPS) for the system describing how the organization intends to operate the system from the perspective of information security and privacy; and
2. Review and update the CONOPS [Assignment: organization-defined frequency].

Supplemental Guidance: The security and privacy CONOPS may be included in the security or privacy plans for the system or in other system development life cycle documents, as appropriate. Changes to the CONOPS are reflected in ongoing updates to the security and privacy plans, the security and privacy architectures, and other appropriate organizational documents, including, for example, system development life cycle documents, procurement specifications, and systems engineering documents.

Related Controls: PL-2, SA-2, SI-12.

Control Enhancements: None.

References: None.

 

PL-8       SECURITY AND PRIVACY ARCHITECTURES

Control:

1. Develop security and privacy architectures for the system that:
   1. Describe the philosophy, requirements, and approach to be taken for protecting the confidentiality, integrity, and availability of organizational information;
   2. Describe the philosophy, requirements, and approach to be taken for processing personally identifiable information;
   3. Describe how the security and privacy architectures are integrated into and support the enterprise architecture; and
   4. Describe any security- and privacy-related assumptions about, and dependencies on, external services;
2. Review and update the security and privacy architectures [Assignment: organization-defined frequency] to reflect updates in the enterprise architecture; and
3. Reflect planned security and privacy architecture changes in the security and privacy plans, the Concept of Operations (CONOPS), and organizational procurements and

Supplemental Guidance: This control addresses actions taken by organizations in the design and development of systems. The security and privacy architectures at the system level are consistent

 

with and complement the organization-wide security and privacy architectures described in PM-7 that are integral to and developed as part of the enterprise architecture. The security and privacy architectures include an architectural description, the placement and allocation of security and privacy functionality (including security and privacy controls), security- and privacy-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security and privacy architectures can include other information, for example, user roles and the access privileges assigned to each role, unique security and privacy requirements, types of information processed, stored, and transmitted by the system, restoration priorities of information and system services, and any other specific protection needs.

In today’s modern computing architectures, it is becoming less common for organizations to control all information resources. There may be key dependencies on external information services and service providers. Describing such dependencies in the security and privacy architectures is important to developing a comprehensive mission and business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational systems is critical to implementing and maintaining effective security and privacy architectures. The development of the security and privacy architectures is coordinated with the Senior Agency Information Security Officer and the Senior Agency Official for Privacy to ensure that security and privacy controls needed to support security and privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations to ensure that they develop security and privacy architectures for the system, and that the architectures are integrated with or tightly coupled to the enterprise architecture through the organization-wide security and privacy architectures. In contrast, SA-17 is primarily directed at external information technology product and system developers and integrators. SA-17, which is complementary to PL- 8, is selected when organizations outsource the development of systems or system components to external entities, and there is a need to demonstrate consistency with the organization’s enterprise architecture and security and privacy architectures.

Related Controls: CM-2, CM-6, PL-2, PL-7, PL-9, PM-7, PM-29, RA-9, SA-3, SA-5, SA-8, SA-17.

Control Enhancements:

• SECURITY AND PRIVACY ARCHITECTURES | DEFENSE-IN-DEPTH

Design the security and privacy architectures for the system using a defense-in-depth approach that:

• Allocates [Assignment: organization-defined security and privacy safeguards] to [Assignment: organization-defined locations and architectural layers]; and
• Ensures that the allocated security and privacy safeguards operate in a coordinated and mutually reinforcing

Supplemental Guidance: Organizations strategically allocate security safeguards (procedural, technical, or both) in the security architecture so that adversaries must overcome multiple safeguards to achieve their objective. Requiring adversaries to defeat multiple mechanisms makes it more difficult to successfully attack critical information resources by increasing the work factor of the adversary. It 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 by interfering with other safeguards. Examples of such unintended consequences include system lockout and cascading alarms. Placement of security safeguards is an important activity requiring thoughtful analysis. The criticality or value of the organizational asset is a key consideration in providing additional layering.

Related Controls: SC-29, SC-36.

• SECURITY AND PRIVACY ARCHITECTURES | SUPPLIER DIVERSITY

Require that [Assignment: organization-defined security and privacy safeguards] allocated to [Assignment: organization-defined locations and architectural layers] are obtained from different suppliers.

Supplemental Guidance: Different 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 based on their priorities and development schedules. By having different products at different locations there is an increased likelihood that at least one will detect the malicious code.

Related Controls: SA-12, SC-29.

References: None.

 

PL-9     CENTRAL MANAGEMENT

Control: Centrally manage [Assignment: organization-defined security and privacy controls and related processes].

Supplemental Guidance: Central management refers to the organization-wide management and implementation of selected security and privacy controls and related processes. This includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed controls and processes. As the central management of security and privacy controls is generally associated with the concept of common controls, such management promotes and facilitates standardization of control implementations and management and judicious use of organizational resources. Centrally-managed controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate and as part of organizational continuous monitoring. As part of the security and privacy control selection processes, organizations determine which controls may be suitable for central management based on organizational resources and capabilities. It is not always possible to centrally manage every aspect of a security or privacy control. In such cases, the control can be treated as a hybrid control with the control managed and implemented centrally or at the system level. Those 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.

Related Controls: PL-8, PM-9.

Control Enhancements: None.

References: NIST Special Publication 800-37.

 

PL-10    BASELINE SELECTION

Control: Select a control baseline for the system.

Supplemental Guidance: The selection of an appropriate control baseline is determined by the needs of organizational stakeholders. Stakeholder needs and concerns consider mission and business requirements and mandates imposed by applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines. For example, the three control baselines in Appendix D are based on the requirements from the Federal Information Security Modernization Act (FISMA) and the Privacy Act. These requirements, along with the NIST standards and guidelines implementing the legislation, require organizations to select one of the control baselines after the reviewing the information types and the information that is processed, stored, and transmitted on organizational systems; analyzing the potential adverse impact or consequences of the loss or compromise of the system or information on the organization’s operations and assets, individuals, other organizations or the Nation; and considering the results from organizational and system assessments of risk.

Nonfederal organizations that are part of other communities of interest including the U.S. critical infrastructure sectors, can develop similar control baselines (using the controls in Chapter Three) that represent the needs and concerns of those entities.

Related Controls: PL-11, RA-2, RA-3, SA-8.

Control Enhancements: None.

 

References: FIPS Publications 199, 200; NIST Special Publications 800-30, 800-37, 800-39, 800-

60-1, 800-60-2, 800-160.

 

PL-11    BASELINE TAILORING

Control: Tailor the selected control baseline by applying specified tailoring actions.

Supplemental Guidance: The concept of tailoring allows organizations to specialize or customize a set of baseline controls by applying a defined set of tailoring actions. These actions facilitate such specialization and customization by allowing organizations to develop security and privacy plans that reflect their specific missions and business functions, the environments where their systems operate, the threats and vulnerabilities that can affect their systems, and any other conditions or situations that can impact their mission or business success. The tailoring actions are described in Appendix G. Tailoring a control baseline is accomplished by identifying and designating common controls; applying scoping considerations; selecting compensating controls; assigning values to control parameters; supplementing the control baseline with additional controls, as needed; and providing information for control implementation. The general tailoring actions in Appendix G can be supplemented with additional actions based on the needs of organizations. Tailoring actions can be applied to the baselines in Appendix D in accordance with the security requirements from the Federal Information Security Modernization Act (FISMA) and the privacy requirements from the Privacy Act. Alternatively, other communities of interest adopting different control baselines can apply the tailoring actions in Appendix G to specialize or customize the controls that represent the specific needs and concerns of those entities.

Related Controls: PL-10, RA-2, RA-3, RA-9, SA-8, SA-12.

Control Enhancements: None.

References: FIPS Publications 199, 200; NIST Special Publications 800-30, 800-37, 800-39, 800-

160.

 

3.15     PROGRAM MANAGEMENT

 

Quick link to Program Management summary table

 

PM-1     INFORMATION SECURITY PROGRAM PLAN

Control:

1. Develop and disseminate an organization-wide information security program plan that:
   1. Provides 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;
   2. Includes the identification and assignment of roles, responsibilities, management commitment, coordination among organizational entities, and compliance;
   3. Reflects the coordination among organizational entities responsible for information security; and
   4. Is 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;
2. Review the organization-wide information security program plan [Assignment: organization- defined frequency];
3. Update the information security program plan to address organizational changes and problems identified during plan implementation or control assessments; and
4. Protect the information security program plan from unauthorized disclosure and

Supplemental Guidance: Information 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.

Security plans for individual systems and the organization-wide information security program plan, 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 a system. 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. For 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 Facilities Management Office may 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 system but instead, support multiple systems.

Related Controls: PL-2, PM-8, PM-12, RA-9, SA-12, SI-12.

Control Enhancements: None.

References: None.

 

PM-2     INFORMATION SECURITY PROGRAM ROLES

Control:

1. Appoint a Senior Agency Information Security Officer with the mission and resources to coordinate, develop, implement, and maintain an organization-wide information security program;
2. Appoint a Senior Accountable Official for Risk Management to align information security management proceeses with strategic, operational, and budgetary planning procceses; and
3. Appoint a Risk Executive (function) to view and analyze risk from an organization-wide perspective and ensure management of risk is consistent across the

Supplemental Guidance: The senior information security officer is an organizational official. For federal agencies (as defined by applicable laws, Executive Orders, regulations, directives, policies, and standards), 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. The senior accountable official for risk management leads the risk executive (function) in organization-wide risk management activities.

Related Controls: None.

Control Enhancements: None.

References: NIST Special Publications 800-37, 800-39; OMB Memorandum 17-25.

 

PM-3     INFORMATION SECURITY AND PRIVACY RESOURCES

Control:

1. Include the resources needed to implement the information security and privacy programs in capital planning and investment requests and document all exceptions to this requirement;
2. Prepare documentation required for addressing information security and privacy programs in capital planning and investment requests in accordance with applicable laws, Executive Orders, directives, policies, regulations, standards; and
3. Make available for expenditure, the planned information security and privacy

Supplemental Guidance: Organizations consider establishing champions for information security and privacy 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-and privacy-related aspects of the capital planning and investment control process.

Related Controls: PM-4, SA-2.

Control Enhancements: None.

References: NIST Special Publication 800-65.

 

PM-4     PLAN OF ACTION AND MILESTONES PROCESS

Control:

1. Implement a process to ensure that plans of action and milestones for the security and privacy programs and associated organizational systems:
   1. Are developed and maintained;
   2. Document the remedial information security and privacy actions to adequately respond to risk to organizational operations and assets, individuals, other organizations, and the Nation; and
   3. Are reported in accordance with established reporting

 

1. Review plans of action and milestones for consistency with the organizational risk management strategy and organization-wide priorities for risk response

Supplemental Guidance: The plan of action and milestones is a key document in the information security and privacy programs and is subject to reporting requirements established by the Office of Management and Budget. Organizations view plans of action and milestones from an enterprise- wide 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 control assessments and continuous monitoring activities.

Related Controls: CA-5; CA-7, PM-3, RA-7, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-37.

 

PM-5     SYSTEM INVENTORY

Control: Develop and maintain an inventory of organizational systems.

Supplemental Guidance: OMB provides guidance on developing systems inventories and associated reporting requirements. This control refers to an organization-wide inventory of systems, not system components as described in CM-8.

Related Controls: None. Control Enhancements: None. References: None.

PM-6     MEASURES OF PERFORMANCE

Control: Develop, monitor, and report on the results of information security and privacy measures of performance.

Supplemental Guidance: Measures of performance are outcome-based metrics used by an organization to measure the effectiveness or efficiency of the information security and privacy programs and the security and privacy controls employed in support of the program.

Related Controls: CA-7.

Control Enhancements: None.

References: NIST Special Publications 800-55, 800-137.

 

PM-7     ENTERPRISE ARCHITECTURE

Control: Develop an enterprise architecture with consideration for information security, privacy, and the resulting risk to organizational operations and assets, individuals, other organizations, and the Nation.

Supplemental Guidance: The integration of security and privacy requirements and controls into the enterprise architecture ensures that security and privacy considerations are addressed early in the system development life cycle and are directly and explicitly related to the organization’s mission and business processes. The process of security and privacy requirements integration also embeds into the enterprise architecture, the organization’s security and privacy architectures consistent with the organizational risk management and information security and privacy strategies. For PM- 7, the security and privacy architectures are developed at a system-of-systems level, representing all organizational systems. For PL-8, the security and privacy architectures are developed at a level representing an individual system. The system-level architectures are consistent with the security and privacy architectures defined for the organization. Security and privacy requirements and control integration are most effectively accomplished through the rigorous application of the Risk Management Framework and supporting security standards and guidelines.

 

Related Controls: AU-6, PL-2, PL-8, PM-11, RA-2, SA-3, SA-8, SA-17.

Control Enhancements: None.

References: NIST Special Publication 800-39.

 

PM-8     CRITICAL INFRASTRUCTURE PLAN

Control: Address information security and privacy issues in the development, documentation, and updating of a critical infrastructure and key resources protection plan.

Supplemental Guidance: Protection strategies are based on the prioritization of critical assets and resources. The requirement and guidance for defining critical infrastructure and key resources and for preparing an associated critical infrastructure protection plan are found in applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.

Related Controls: CP-2, CP-4, PE-18, PL-2, PM-1, PM-9, PM-11, PM-18, RA-3, SI-12.

Control Enhancements: None.

References: HSPD 7; National Infrastructure Protection Plan.

 

PM-9     RISK MANAGEMENT STRATEGY

Control:

1. Develops a comprehensive strategy to manage:
   1. Security risk to organizational operations and assets, individuals, other organizations, and the Nation associated with the operation and use of organizational systems;
   2. Privacy risk to individuals resulting from the collection, sharing, storing, transmitting, use, and disposal of personally identifiable information; and
   3. Supply chain risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services;
2. Implement the risk management strategy consistently across the organization; and
3. Review and update the risk management strategy [Assignment: organization-defined frequency] or as required, to address organizational

Supplemental Guidance: An organization-wide risk management strategy includes, for example, an expression of the security, privacy, and supply chain risk tolerance for the organization; acceptable risk assessment methodologies; security, privacy, and supply chain risk mitigation strategies; a process for consistently evaluating security, privacy, and supply chain risk across the organization with respect to the organization’s risk tolerance; and approaches for monitoring risk over time.

The senior accountable official for risk management (agency head or designated official) aligns information security management proceeses with strategic, operational, and budgetary planning procceses. The use of a risk executive function, led by the senior accountable official for risk management, can facilitate consistent application of the risk management strategy organization- wide. The organization-wide risk management strategy can be informed by security, privacy, and supply chain risk-related inputs from other sources, internal and external to the organization, to ensure the strategy is both broad-based and comprehensive.

Related Controls: All XX-1 Controls, CA-2, CA-5, CA-6, CA-7, IP-1, PA-1, PA-2, PA-3, PL-2, PM-8, PM-18, PM-31, PM-32, RA-3, RA-9, SA-4, SA-12, SC-38, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-30, 800-39, 800-161; NIST Interagency Report 8023.

 

PM-10 AUTHORIZATION PROCESS

Control:

1. Manage the security and privacy state of organizational systems and the environments in which those systems operate through authorization processes;
2. Designate individuals to fulfill specific roles and responsibilities within the organizational risk management process; and
3. Integrate the authorization processes into an organization-wide risk management

Supplemental Guidance: Authorization processes for organizational systems and environments of operation require the implementation of an organization-wide risk management process, a Risk Management Framework, and associated security and privacy standards and guidelines. Specific roles for risk management processes include a risk executive (function) and designated authorizing officials for each organizational system and common control provider. The organizational authorization processes are integrated with continuous monitoring processes to facilitate ongoing understanding and acceptance of security and privacy risks to organizational operations and assets, individuals, other organizations, and the Nation.

Related Controls: CA-6, CA-7, PL-2.

Control Enhancements: None.

References: NIST Special Publications 800-37, 800-39.

 

PM-11 MISSION AND BUSINESS PROCESS DEFINITION

Control:

1. Define organizational mission and business processes with consideration for information security and privacy and the resulting risk to organizational operations, organizational assets, individuals, other organizations, and the Nation; and
2. Determine information protection and personally identifiable information processing needs arising from the defined mission and business processes; and
3. Review and revise the mission and business processes [Assignment: organization-defined frequency], until achievable protection and personally identifiable information processing needs are

Supplemental Guidance: Protection needs are technology-independent, required capabilities to counter threats to organizations, individuals, systems, and the Nation through the compromise of information (i.e., loss of confidentiality, integrity, availability, or privacy). Information protection and personally identifiable information processing needs are derived from mission and business needs defined by the stakeholders in organizations, the mission and business processes defined to meet those needs, and the organizational risk management strategy. Information protection and personally identifiable information processing needs determine the required security and privacy controls for the organization and the systems supporting the mission and business processes.

Inherent in defining the protection and personally identifiable information processing needs, is an understanding of adverse impact or consequences that could result if a compromise of information occurs. The categorization process is used to make such potential impact determinations. Privacy risks to individuals can arise from the compromise of personally identifiable information, but they can also arise as unintended consequences or a byproduct of authorized processing of information at any stage of the data life cycle. Privacy risk assessments are used to prioritize the risks that are created for individuals from system processing of personally identifiable information. These risk assessments enable the selection of the required privacy controls for the organization and systems supporting the mission and business processes. Mission and business process definitions and the associated protection requirements are documented in accordance with organizational policy and procedures.

Related Controls: CP-2, PL-2, PM-7, PM-8, RA-2, SA-2.

 

Control Enhancements: None.

References: FIPS Publication 199; NIST Special Publication 800-60-1, 800-60-2.

 

PM-12 INSIDER THREAT PROGRAM

Control: Implement an insider threat program that includes a cross-discipline insider threat incident handling team.

Supplemental Guidance: Organizations 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 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 official is designated by the department or 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 or 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 or agency for insider threat analysis; and conduct self-assessments of department or agency insider threat posture.

Insider threat programs can leverage the existence of incident handling teams that 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 including, for example, 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. However, the use of human resource records could raise significant concerns for privacy. The participation of a comprehensive legal team, including consultation with the senior agency officer for privacy (SAOP), ensures that all monitoring activities are performed in accordance with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines.

Related Controls: AC-6, AT-2, AU-6, AU-7, AU-10, AU-12, AU-13, CA-7, IA-4, IR-4, MP-7, PE-

2, PM-16, PS-3, PS-4, PS-5, PS-7, PS-8, SC-7, SC-38, SI-4, PM-1, PM-14.

Control Enhancements: None.

References: None.

 

PM-13 SECURITY AND PRIVACY WORKFORCE

Control: Establish a security and privacy workforce development and improvement program.

Supplemental Guidance: Security and privacy workforce development and improvement programs include, for example, defining the knowledge, skills, and abilities needed to perform security and privacy duties and tasks; developing role-based training programs for individuals assigned security and privacy roles and responsibilities; and providing standards and guidelines for measuring and building individual qualifications for incumbents and applicants for security- and privacy-related positions. Such workforce development and improvement programs can also include security and privacy career paths to encourage security and privacy professionals to advance in the field and fill positions with greater responsibility. The programs encourage organizations to fill security- and privacy-related positions with qualified personnel. Security and privacy workforce development and improvement programs are complementary to organizational security awareness and training programs and focus on developing and institutionalizing the core security and privacy capabilities of personnel needed to protect organizational operations, assets, and individuals.

 

Related Controls: AT-2, AT-3.

Control Enhancements: None.

References: NIST Cyber Workforce Framework.

 

PM-14 TESTING, TRAINING, AND MONITORING

Control:

1. Implement a process for ensuring that organizational plans for conducting security and privacy testing, training, and monitoring activities associated with organizational systems:
   1. Are developed and maintained; and
   2. Continue to be executed in a timely manner;
2. Review testing, training, and monitoring plans for consistency with the organizational risk management strategy and organization-wide priorities for risk response

Supplemental Guidance: This control ensures that organizations provide oversight for the security and privacy testing, training, and monitoring activities conducted organization-wide and that those activities are coordinated. With the growing importance of continuous monitoring programs, the implementation of information security and privacy 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 and privacy controls. Security and privacy training activities, while focused on individual 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.

Related Controls: AT-2, AT-3, CA-7, CP-4, IR-3, PM-12, SI-4.

Control Enhancements: None.

References: NIST Special Publications 800-37, 800-39; 800-53A, 800-137.

 

PM-15 CONTACTS WITH GROUPS AND ASSOCIATIONS

Control: Establish and institutionalize contact with selected groups and associations within the security and privacy communities:

1. To facilitate ongoing security and privacy education and training for organizational personnel;
2. To maintain currency with recommended security and privacy practices, techniques, and technologies; and
3. To share current security- and privacy-related information including threats, vulnerabilities, and incidents.

Supplemental Guidance: Ongoing contact with security and privacy groups and associations is of paramount importance in an environment of rapidly changing technologies and threats. Security and privacy groups and associations include, for example, special interest groups, professional associations, forums, news groups, and peer groups of security and privacy professionals in similar organizations. Organizations select groups and associations based on organizational missions and business functions. Organizations share threat, vulnerability, privacy problems, contextual insights, compliance techniques, and incident information consistent with applicable laws, Executive Orders, directives, policies, regulations, standards, and guidelines.

Related Controls: SA-11, SI-5. Control Enhancements: None. References: None.

 

PM-16 THREAT AWARENESS PROGRAM

Control: Implement a threat awareness program that includes a cross-organization information- sharing capability.

Supplemental Guidance: Because of the constantly changing and increasing sophistication of adversaries, especially the advanced persistent threat (APT), it may be more likely that adversaries can successfully breach or compromise organizational systems. One of the best techniques to address this concern is for organizations to share threat information. This can include 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, and threat intelligence (i.e., indications and warnings about threats that can occur). Threat information sharing may be bilateral or multilateral. Examples of bilateral threat sharing include government- commercial cooperatives and government-government cooperatives. An example of multilateral sharing includes organizations taking part in threat-sharing consortia. Threat information may be highly sensitive requiring special agreements and protection, or less sensitive and freely shared.

Related Controls: IR-4, PM-12.

Control Enhancements:

(1) THREAT AWARENESS PROGRAM | AUTOMATED MEANS FOR SHARING THREAT INTELLIGENCE

Utilize automated means to maximize the effectiveness of sharing threat intelligence information.

Supplemental Guidance: To maximize the effectiveness of monitoring, it is important to know what threat observables and indicators the sensors need to be searching for. By utilizing well established frameworks, services, and automated tools, organizations greatly improve their ability to rapidly share and feed into monitoring tools, the relevant threat detection signatures.

Related Controls: None.

References: None.

 

PM-17 PROTECTING CONTROLLED UNCLASSIFIED INFORMATION ON EXTERNAL SYSTEMS

Control:

1. Establish policy and procedures to ensure that the requirements for the protection of Controlled Unclassified Information processed, stored or transmitted on external systems, are implemented in accordance with applicable laws, Executive Orders, directives, policies, regulations, and
2. Update the policy and procedures [Assignment: organization-defined frequency].

Supplemental Guidance: The protection of Controlled Unclassified Information (CUI) in nonfederal organizations and systems is critical to the security of federal operations and assets and the privacy of individuals. CUI is defined by the National Archives and Records Administration along with the appropriate safeguarding and dissemination requirements for such information and is codified in 32 CFR 2002, Controlled Unclassified Information and specifically, for systems external to the federal organization, in 32 CFR 2002.14h. The policy prescribes the specific use and conditions to be implemented in accordance with organizational procedures including, for example, via its contracting processes.

Related Controls: CA-6, PM-10.

Control Enhancements: None.

References: 32 CFR 2002; NIST Special Publication 800-171; NARA CUI Registry.

 

PM-18 PRIVACY PROGRAM PLAN

Control:

1. Develop and disseminate an organization-wide privacy program plan that provides an overview of the agency’s privacy program, and:

 

1. Includes a description of the structure of the privacy program and the resources dedicated to the privacy program;
2. Provides an overview of the requirements for the privacy program and a description of the privacy program management controls and common controls in place or planned for meeting those requirements;
3. Includes the role of the Senior Agency Official for Privacy and the identification and assignment of roles of other privacy officials and staff and their responsibilities;
4. Describes management commitment, compliance, and the strategic goals and objectives of the privacy program;
5. Reflects coordination among organizational entities responsible for the different aspects of privacy; and
6. Is approved by a senior official with responsibility and accountability for the privacy risk being incurred to organizational operations (including mission, functions, image, and reputation), organizational assets, individuals, other organizations, and the Nation; and

1. Update the plan to address changes in federal privacy laws and policy and organizational changes and problems identified during plan implementation or privacy control

Supplemental Guidance: A Privacy program plan is a formal document that provides an overview of an organization’s privacy program, including a description of the structure of the privacy program, the resources dedicated to the privacy program, the role of the Senior Agency Official for Privacy and other privacy officials and staff, the strategic goals and objectives of the privacy program, and the program management and common controls in place or planned for meeting applicable privacy requirements and managing privacy risks.

Privacy program plans can be integrated with information security plans or can be represented independently, either in a single document or in compilations of documents at the discretion of organizations. The plans document the program management controls and organization-defined common controls. Privacy program plans provide sufficient information about the program management and common controls (including specification of parameters and assignment and selection statements either explicitly or by reference) to enable control implementations that are unambiguously compliant with the intent of the plans and a determination of the risk incurred if the plans are implemented as intended.

The privacy plans for individual systems and the organization-wide privacy program plan together provide complete coverage for all privacy controls employed within the organization. Common controls are documented in an appendix to the organization’s privacy program plan unless the controls are included in a separate privacy plan for a system. The organization-wide privacy program plan indicates which separate privacy plans contain descriptions of privacy 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 privacy program plan. If the privacy 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.

Related Controls: PM-8, PM-9, PM-19.

Control Enhancements: None.

References: None.

 

PM-19 PRIVACY PROGRAM ROLES

Control: Appoint a Senior Agency Official for Privacy with the authority, mission, accountability, and resources to coordinate, develop, and implement, applicable privacy requirements and manage privacy risks through the organization-wide privacy program.

Supplemental Guidance: The privacy officer described in this control is an organizational official. For federal agencies, as defined by applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines, this official is designated as the Senior Agency Official for Privacy. Organizations may also refer to this official as the Chief Privacy Officer.

Related Controls: PM-18, PM-21.

Control Enhancements: None.

References: None.

 

PM-20 SYSTEM OF RECORDS NOTICE

Control:

1. Publish System of Records Notices in the Federal Register, subject to required oversight processes, for systems containing personally identifiable information; and
2. Keep System of Records Notices

Supplemental Guidance: Organizations issue System of Records Notices to provide the public notice regarding personally identifiable information collected in a system of records. The Privacy Act defines a system of records as a group of any records under the control of any agency from which information is retrieved by the name of an individual or by some identifying number, symbol, or other identifier. System of Records Notices explain how the information is used, retained, and may be corrected, and whether certain portions of the system are subject to Privacy Act exemptions for law enforcement or national security reasons.

Related Controls: IP-5, PA-2, PA-3.

Control Enhancements: None.

References: None.

 

PM-21 DISSEMINATION OF PRIVACY PROGRAM INFORMATION

Control:

1. Ensure that the public has access to information about organizational privacy activities and can communicate with its Senior Agency Official for Privacy;
2. Ensure that organizational privacy practices are publicly available through organizational websites or otherwise; and
3. Employ publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to privacy offices regarding privacy

Supplemental Guidance: Organizations employ different mechanisms for informing the public about their privacy practices including, for example, Privacy Impact Assessments, System of Records Notices, privacy reports, publicly available web pages, email distributions, blogs, and periodic publications, including, for example, quarterly newsletters.

Related Controls: IP-4, IP-5, PM-19.

Control Enhancements: None.

References: None.

 

PM-22 ACCOUNTING OF DISCLOSURES

Control:

1. Develop and maintain an accounting of disclosures of personally identifiable information held in each system of records under its control, including:
   1. Date, nature, and purpose of each disclosure of a record; and
   2. Name and address of the person or organization to which the disclosure was made;
2. Retain the accounting of disclosures for the life of the record or five years after the disclosure is made, whichever is longer; and
3. Make the accounting of disclosures available to the person named in the record upon

Supplemental Guidance: This control addresses disclosure accounting requirements in the Privacy Act. The purpose of disclosure accounting requirements is to allow individuals to learn to whom records about them have been disclosed; to provide a basis for subsequently advising recipients of records of any corrected or disputed records; and to provide an audit trail for subsequent reviews of organizational compliance with conditions for disclosures. Organizations can use any system for keeping notations of disclosures, if it can construct from such a system, a document listing of all disclosures. Automated mechanisms can be used by organizations to determine when such information is disclosed, including, for example, commercial services providing notifications and alerts. Accounting of disclosures may also be used to help organizations verify compliance with applicable privacy statutes and policies governing disclosure or dissemination of information and dissemination restrictions.

Related Controls: AU-2. Control Enhancements: None. References: None.

PM-23 DATA QUALITY MANAGEMENT

Control: Issue guidelines ensuring and maximizing the quality, utility, objectivity, integrity, impact determination, and de-identification of personally identifiable information across the information life cycle.

Supplemental Guidance: Data quality management guidelines include the reasonable steps that organizations take to confirm the accuracy and relevance of personally identifiable information throughout the information life cycle. The information life cycle includes the creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition of personally identifiable information. Such steps may include, for example, editing and validating addresses as they are collected or entered into systems using automated address verification look-up application programming interfaces. The measures taken to protect data quality are based on the nature and context of the personally identifiable information, how it is to be used, how it was obtained, the impact level of the personally identifiable information obtained, and potential de-identification methods employed. Measures taken to validate the accuracy of personally identifiable information that is used to make determinations about the rights, benefits, or privileges of individuals under federal programs may be more comprehensive than those used to validate less sensitive personally identifiable information. Additional steps may be necessary to validate personally identifiable information that is obtained from sources other than individuals or the authorized representatives of individuals.

Related Controls: PM-24, SI-20.

Control Enhancements:

• DATA QUALITY MANAGEMENT | AUTOMATION

Issue technical guidelines and documentation to support automated evaluation of data quality across the information life cycle.

 

Supplemental Guidance: As data is obtained and used across the information life cycle, it is important to confirm the accuracy and relevance of personally identifiable information. Automated tools and techniques can augment existing process and procedures and enable an organization to better identify and manage personally identifiable information in large-scale systems. For example, automated tools can greatly improve efforts to consistently normalize data or identify malformed data. Automated tools can also be used to improve auditing of data, to track how data is used across the information life cycle, and to detect errors that may incorrectly alter personally identifiable information or incorrectly associate such information with the wrong individual. These automated capabilities backstop processes and procedures at-scale. They also enable more fine-grained detection and correction of data quality errors.

Related Controls: None.

• DATA QUALITY MANAGEMENT | DATA TAGGING

Issue data modeling guidelines to support tagging of personally identifiable information.

Supplemental Guidance: Data tagging includes, for example, tags noting the authority to collect, usage, presence of personally identifiable information, de-identification, impact level, and information life cycle stage.

Related Controls: SC-16.

• DATA QUALITY MANAGEMENT | UPDATING PERSONALLY IDENTIFIABLE INFORMATION

When managing personally identifiable information, develop procedures and incorporate mechanisms to identify and record the method under which the information is updated, and the frequency that such updates occur.

Supplemental Guidance: When managing personally identifiable information including, for example, health information and financial information, it is important to carefully track updates or changes to such data. Having the ability to track both the method and frequency of updates enhances transparency and individual participation. It also enables individuals to better understand how and when their information is changed and helps both individuals and the responsible organizations to know how and what personally identifiable information was changed should erroneous information be identified.

Related Controls: None.

References: NIST Special Publication 800-188.

 

PM-24 DATA MANAGEMENT BOARD

Control:

1. Establish a written charter for a Data Management Board;
2. Establish the Data Management Board consisting of [Assignment: organization-defined roles] with the following responsibilities:
   1. Develop and implement guidelines supporting data modeling, quality, integrity, and de- identification needs of personally identifiable information across the information life cycle;
   2. Review and approve applications to release data outside of the organization, archiving the applications and the released data, and performing post-release monitoring to ensure that the assumptions made as part of the data release continue to be valid;
3. Include requirements for personnel interaction with the Data Management Board in security and privacy awareness and/or role-based

Supplemental Guidance: The guidelines established by Data Management Board establish policies, procedures, and standards that enable data governance so that personally identifiable information is managed and maintained in accordance with any relevant statutes, regulations, and guidance. Members may include the Chief Information Officer, Senior Agency Information Security Officer, and Senior Agency Official for Privacy. With respect to data modeling, and the quality, integrity, and de-identification of personally identifiable information, data and information needs are met

 

through organization-wide data governance policies that establish the roles, responsibilities, and processes by which personnel manage information as an asset across the information life cycle. The information life cycle includes creation, collection, use, processing, storage, maintenance, dissemination, disclosure, and disposition. Members may include the Chief Information Officer, Senior Agency Official for Privacy, and Senior Agency Information Security Officer.

Related Controls: AT-2, AT-3, PM-23, PM-25, SI-4, SI-20.

Control Enhancements: None.

References: NIST Special Publication 800-188.

 

PM-25 DATA INTEGRITY BOARD

Control: Establish a Data Integrity Board to oversee organizational Computer Matching Agreements.

Supplemental Guidance: Organizations executing Computer Matching Agreements or participating in such agreements with other organizations regarding applicants for and recipients of financial assistance or payments under federal benefit programs or certain computerized comparisons involving federal personnel or payroll records, establish a Data Integrity Board to oversee and coordinate the implementation of those matching agreements. As data is obtained and used across the information life cycle, it is important to confirm the accuracy and relevance of personally identifiable information. Organizations may integrate the function of the Data Integrity Board into the responsibilities of the Data Management Board under PM-24. In many organizations, the Data Integrity Board is led by the Senior Agency Official for Privacy.

Related Controls: AC-1, AC-3, AC-4, AU-2, AU-3, AU-6, AU-11, PA-2, PA-4, PM-24, SC-8, SC- 28, SI-19, SI-20.

Control Enhancements:

(1) DATA INTEGRITY BOARD | PUBLISH AGREEMENTS ON WEBSITE

Publish Computer Matching Agreements on the public website of the organization.

Supplemental Guidance: None.

Related Controls: None.

References: None.

 

PM-26 MINIMIZATION OF PERSONALLY IDENTIFIABLE INFORMATION USED IN TESTING, TRAINING, AND RESEARCH

Control:

1. Develop and implement policies and procedures that address the use of personally identifiable information for internal testing, training, and research;
2. Take measures to limit or minimize the amount of personally identifiable information used for internal testing, training, and research purposes; and
3. Authorize the use of personally identifiable information when such information is required for internal testing, training, and

Supplemental Guidance: Organizations often use personally identifiable information for testing new applications or systems prior to deployment, for research purposes, and for training. The use of personally identifiable information in testing, research, and training increases risk of unauthorized disclosure or misuse of such information. Organizations consult with the Senior Agency Official for Privacy and legal counsel to ensure that the use of personally identifiable information in testing, training, and research is compatible with the original purpose for which it was collected. When possible, organizations use placeholder data to avoid exposure of personally identifiable information when conducting testing, training, and research.

 

Related Controls: PA-3. Control Enhancements: None. References: None.

PM-27 INDIVIDUAL ACCESS CONTROL

Control:

1. Publish:
   1. Policies governing how individuals may request access to records maintained in a Privacy Act system of records; and
   2. Access procedures in System of Records Notices; and
2. Ensure that the published policies and access procedures are consistent with Privacy Act requirements and Office of Management and Budget policies and guidance for the proper processing of Privacy Act

Supplemental Guidance: Access affords individuals the ability to review personally identifiable information about them held within organizational systems of records. Access includes timely, simplified, and inexpensive access to data. Organizational processes for allowing access to records may differ based on resources, legal requirements, or other factors. The Senior Agency Official for Privacy is responsible for the content of Privacy Act regulations and record request processing, in consultation with the organization’s legal counsel. Access to certain types of records may not be appropriate, however, and heads of agencies may promulgate rules exempting particular systems from the access provision of the Privacy Act.

Related Controls:  IP-6. Control Enhancements: None. References: None.

PM-28 COMPLAINT MANAGEMENT

Control: Implement a process for receiving and responding to complaints, concerns, or questions from individuals about the organizational privacy practices that includes:

1. Mechanisms that are easy to use and readily accessible by the public;
2. All information necessary for successfully filing complaints; and
3. Tracking mechanisms to ensure all complaints received are reviewed and appropriately addressed in a timely manner.

Supplemental Guidance: Complaints, concerns, and questions from individuals can serve as a valuable source of external input that ultimately improves operational models, uses of technology, data collection practices, and privacy and security controls. Mechanisms that can be used by the public may include, for example, e-mail, telephone hotline, or web-based forms. Information necessary for successfully filing complaints includes, for example, contact information for the Senior Agency Official for Privacy or other official designated to receive complaints.

Related Controls: IP-3, IR-7, IR-9.

Control Enhancements: None.

References: None.

 

PM-29 INVENTORY OF PERSONALLY IDENTIFIABLE INFORMATION

Control:

1. Establish, maintain, and update [Assignment: organization-defined frequency] an inventory of all programs and systems that create, collect, use, process, store, maintain, disseminate, disclose, or dispose of personally identifiable information;
2. Provide updates of the personally identifiable information inventory to the Chief Information Officer, Senior Agency Official for Privacy, and Senior Agency Information Security Officer [Assignment: organization-defined frequency];
3. Use the personally identifiable information inventory to support the establishment of information security and privacy requirements for all new or modified systems containing personally identifiable information;
4. Review the personally identifiable information inventory [Assignment: organization-defined frequency];
5. Ensure to the extent practicable, that personally identifiable information is accurate, relevant, timely, and complete; and
6. Reduce personally identifiable information to the minimum necessary for the proper performance of authorized organizational

Supplemental Guidance: Organizations coordinate with federal records officers to ensure that reductions in organizational holdings of personally identifiable information are consistent with National Archives and Records Administration retention schedules. By performing periodic assessments, organizations ensure that only the data specified in the notice is collected, and that the data collected is still relevant and necessary for the purpose specified in privacy notices. The set of personally identifiable information elements required to support an organizational mission or business process may be a subset of the personally identifiable information the organization is authorized to collect.

Related Controls: CM-8, PL-8.

Control Enhancements:

(1) INVENTORY OF PERSONALLY IDENTIFIABLE INFORMATION | AUTOMATION SUPPORT

Employ automated mechanisms to determine if personally identifiable information is maintained in electronic form.

Supplemental Guidance: Automated mechanisms include, for example, commercial services providing notifications and alerts to organizations about where personally identifiable information is stored.

Related Controls: None.

References: None.

 

PM-30 PRIVACY REPORTING

Control: Develop, disseminate, and update privacy reports to:

1. The Office of Management and Budget, Congress, and other oversight bodies to demonstrate accountability with statutory and regulatory privacy program mandates; and
2. [Assignment: organization-defined officials] and other personnel with responsibility for monitoring privacy program progress and

Supplemental Guidance: Through internal and external privacy reporting, organizations promote accountability and transparency in organizational privacy operations. Reporting can also help organizations to determine progress in meeting privacy compliance requirements and privacy controls, compare performance across the federal government, identify vulnerabilities and gaps in policy and implementation, and identify success models. Privacy reports include, for example,

 

annual Senior Agency Official for Privacy reports to OMB; reports to Congress required by the Implementing Regulations of the 9/11 Commission Act; and other public reports required by specific statutory mandates or internal policies of organizations. The Senior Agency Official for Privacy consults with legal counsel, where appropriate, to ensure that organizations meet all applicable privacy reporting requirements.

Related Controls: IR-9, PM-19. Control Enhancements: None. References: None.

PM-31 SUPPLY CHAIN RISK MANAGEMENT PLAN

Control:

1. Develop a plan for managing supply chain risks associated with the development, acquisition, maintenance, and disposal of systems, system components, and system services;
2. Implement the supply chain risk management plan consistently across the organization; and
3. Review and update the supply chain risk management plan [Assignment: organization-defined frequency] or as required, to address organizational

Supplemental Guidance: An organization-wide supply chain risk management plan includes, for example, an unambiguous expression of the supply chain risk tolerance for the organization, acceptable supply chain risk mitigation strategies or controls, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the supply chain risk management plan, and associated roles and responsibilities. The organization-wide supply chain risk management plan can be incorporated into the organization’s risk management strategy and be used to inform the system-level supply chain risk management plan. The use of a risk executive function can facilitate consistent, organization-wide application of the supply chain risk management plan.

Related Controls: PM-9, SA-12.

Control Enhancements: None.

References: NIST Special Publication 800-161.

 

PM-32 RISK FRAMING

Control:

1. Identify assumptions affecting risk assessments, risk response, and risk monitoring;
2. Identify constraints affecting risk assessments, risk response, and risk monitoring;
3. Identify the organizational risk tolerance; and
4. Identify priorities and trade-offs considered by the organization for managing

Supplemental Guidance: Risk framing is most effectively conducted at the organization-wide level. The assumptions, constraints, organizational risk tolerance, and priorities and trade-offs identified for this control inform the organizational risk management strategy which in turn, informs the conduct of risk assessment, risk response, and risk monitoring.

Related Controls: CA-7, PM-9, RA-3, RA-7.

Control Enhancements: None.

References: NIST Special Publication 800-39.

 

3.16     PERSONNEL SECURITY

 

Quick link to Personnel Security summary table

 

PS-1      PERSONNEL SECURITY POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A personnel security policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the personnel security policy and the associated personnel security controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the personnel security policy and procedures;
3. Review and update the current personnel security:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the personnel security procedures implement the personnel security policy and controls; and
5. Develop, document, and implement remediation actions for violations of the personnel security

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the PS family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

PS-2      POSITION RISK DESIGNATION

Control:

1. Assign a risk designation to all organizational positions;
2. Establish screening criteria for individuals filling those positions; and

 

1. Review and update position risk designations [Assignment: organization-defined frequency].

Supplemental Guidance: Position 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 systems. Position screening criteria include explicit information security role appointment requirements.

Related Controls: AC-5, AT-3, PE-2, PE-3, PL-2, PS-3, PS-6, SA-5, SA-21, SI-12.

Control Enhancements: None.

References: 5 C.F.R. 731.106.

 

PS-3      PERSONNEL SCREENING

Control:

1. Screen individuals prior to authorizing access to the system; and
2. Rescreen individuals in accordance with [Assignment: organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of rescreening].

Supplemental Guidance: Personnel screening and rescreening activities reflect applicable laws, Executive Orders, directives, regulations, policies, standards, guidelines, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing systems based on types of information processed, stored, or transmitted by the systems.

Related Controls: AC-2, IA-4, MA-5, PE-2, PM-12, PS-2, PS-6, PS-7, SA-21.

Control Enhancements:

• PERSONNEL SCREENING | CLASSIFIED INFORMATION

Verify that individuals accessing a 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.

Supplemental Guidance:  None.

Related Controls:  AC-3, AC-4.

• PERSONNEL SCREENING | FORMAL INDOCTRINATION

Verify that individuals accessing a system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all the relevant types of information to which they have access on the system.

Supplemental Guidance: Types of classified information requiring formal indoctrination include, for example, Special Access Program (SAP), Restricted Data (RD), and Sensitive Compartment Information (SCI).

Related Controls: AC-3, AC-4.

• PERSONNEL SCREENING | INFORMATION WITH SPECIAL PROTECTION MEASURES

Verify that individuals accessing a system processing, storing, or transmitting information requiring special protection:

• Have valid access authorizations that are demonstrated by assigned official government duties; and
• Satisfy [Assignment: organization-defined additional personnel screening criteria].

Supplemental Guidance: Organizational information requiring special protection includes, for example, Controlled Unclassified Information (CUI). Personnel security criteria include, for example, position sensitivity background screening requirements.

Related Controls: None.

• PERSONNEL SCREENING | CITIZENSHIP REQUIREMENTS

Verify that individuals accessing a system processing, storing, or transmitting [Assignment: organization-defined information types] meet [Assignment: organization-defined citizenship requirements].

 

Supplemental Guidance: None.

Related Controls: None.

References: FIPS Publications 199, 201; NIST Special Publications 800-60-1, 800-60-2, 800-73,

800-76, 800-78.

 

PS-4      PERSONNEL TERMINATION

Control: Upon termination of individual employment:

1. Disable system access within [Assignment: organization-defined time-period];
2. Terminate or revoke any authenticators and credentials associated with the individual;
3. Conduct exit interviews that include a discussion of [Assignment: organization-defined information security topics];
4. Retrieve all security-related organizational system-related property;
5. Retain access to organizational information and systems formerly controlled by terminated individual; and
6. Notify [Assignment: organization-defined personnel or roles] within [Assignment: organization-defined time-period].

Supplemental Guidance: 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 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 unavailability 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 system accounts of individuals that are being terminated prior to the individuals being notified.

Related Controls: AC-2, IA-4, PE-2, PM-12, PS-6, PS-7.

Control Enhancements:

• PERSONNEL TERMINATION | POST-EMPLOYMENT REQUIREMENTS
  • Notify terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information; and
  • Require terminated individuals to sign an acknowledgment of post-employment requirements as part of the organizational termination

Supplemental Guidance: Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.

Related Controls: None.

• PERSONNEL TERMINATION | AUTOMATED NOTIFICATION

Employ automated mechanisms to notify [Assignment: organization-defined personnel or roles] upon termination of an individual.

Supplemental Guidance: In organizations with many 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 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.

Related Controls: None.

 

References: None.

 

PS-5      PERSONNEL TRANSFER

Control:

1. Review and confirm ongoing operational need for current logical and physical access authorizations to systems and facilities when individuals are reassigned or transferred to other positions within the organization;
2. Initiate [Assignment: organization-defined transfer or reassignment actions] within [Assignment: organization-defined time-period following the formal transfer action];
3. Modify access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and
4. Notify [Assignment: organization-defined personnel or roles] within [Assignment: organization-defined time-period].

Supplemental Guidance: This 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, returning old and issuing new keys, identification cards, and building passes; closing system accounts and establishing new accounts; changing system access authorizations (i.e., privileges); and providing for access to official records to which individuals had access at previous work locations and in previous system accounts.

Related Controls: AC-2, IA-4, PE-2, PM-12, PS-4, PS-7.

Control Enhancements: None.

References: None.

 

PS-6      ACCESS AGREEMENTS

Control:

1. Develop and document access agreements for organizational systems;
2. Review and update the access agreements [Assignment: organization-defined frequency]; and
3. Verify that individuals requiring access to organizational information and systems:
   1. Sign appropriate access agreements prior to being granted access; and
   2. Re-sign access agreements to maintain access to organizational systems when access agreements have been updated or [Assignment: organization-defined frequency].

Supplemental Guidance: Access 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 systems to which access is authorized.

Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.

Related Controls: AC-17, PE-2, PL-4, PS-2, PS-3, PS-7, PS-8, SA-21, SI-12.

Control Enhancements:

• ACCESS AGREEMENTS | INFORMATION REQUIRING SPECIAL PROTECTION

[Withdrawn: Incorporated into PS-3].

• ACCESS AGREEMENTS | CLASSIFIED INFORMATION REQUIRING SPECIAL PROTECTION

Verify that access to classified information requiring special protection is granted only to individuals who:

 

• Have a valid access authorization that is demonstrated by assigned official government duties;
• Satisfy associated personnel security criteria; and
• Have read, understood, and signed a nondisclosure

Supplemental Guidance: Classified information requiring special protection includes, for example, collateral information, Special Access Program (SAP) information, and Sensitive Compartmented Information (SCI). Personnel security criteria reflect applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines.

Related Controls: None.

• ACCESS AGREEMENTS | POST-EMPLOYMENT REQUIREMENTS
  • Notify individuals of applicable, legally binding post-employment requirements for protection of organizational information; and
  • Require individuals to sign an acknowledgment of these requirements, if applicable, as part of granting initial access to covered

Supplemental Guidance: Organizations consult with the Office of the General Counsel regarding matters of post-employment requirements on terminated individuals.

Related Controls: PS-4.

References: None.

 

PS-7      EXTERNAL PERSONNEL SECURITY

Control:

1. Establish personnel security requirements including security roles and responsibilities for external providers;
2. Require external providers to comply with personnel security policies and procedures established by the organization;
3. Document personnel security requirements;
4. Require external providers to notify [Assignment: organization-defined personnel or roles] of any personnel transfers or terminations of external personnel who possess organizational credentials and/or badges, or who have system privileges within [Assignment: organization- defined time-period]; and
5. Monitor provider

Supplemental Guidance: External provider refers to organizations other than the organization operating or acquiring the system. External providers include, for example, service bureaus, contractors, and other organizations providing system development, information technology services, outsourced applications, testing/assessment services, and network and security management. Organizations explicitly include personnel security requirements in acquisition- related documents. External providers may have personnel working at organizational facilities with credentials, badges, or system privileges issued by organizations. Notifications of external 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.

Related Controls: AT-2, AT-3, MA-5, PE-3, PS-2, PS-3, PS-4, PS-5, PS-6, SA-5, SA-9, SA-21.

Control Enhancements: None.

References: NIST Special Publication 800-35.

 

PS-8      PERSONNEL SANCTIONS

Control:

1. Employ a formal sanctions process for individuals failing to comply with established information security policies and procedures; and
2. Notify [Assignment: organization-defined personnel or roles] within [Assignment: organization-defined time-period] when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the

Supplemental Guidance: Organizational sanctions processes reflect applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines. 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.

Related Controls: All XX-1 Controls, IP-1, PL-4, PM-12, PS-6.

Control Enhancements: None.

References: None.

 

3.17     RISK ASSESSMENT

 

Quick link to Risk Assessment summary table

 

RA-1      RISK ASSESSMENT POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A risk assessment policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the risk assessment policy and the associated risk assessment controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the risk assessment policy and procedures;
3. Review and update the current risk assessment:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the risk assessment procedures implement the risk assessment policy and controls; and
5. Develop, document, and implement remediation actions for violations of the risk assessment policy.

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the RA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

RA-2      SECURITY CATEGORIZATION

Control:

1. Categorize the system and information it processes, stores, and transmits;
2. Document the security categorization results including supporting rationale, in the security plan for the system; and

 

1. Verify that the authorizing official or authorizing official designated representative reviews and approves the security categorization

Supplemental Guidance: Clearly 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 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 Agency Information Security Officers, system owners, mission and 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 facilitate the development of inventories of information assets, and along with CM-8, mappings to specific system components where information is processed, stored, or transmitted.

Related Controls: CM-8, MP-4, PL-2, PL-10, PL-11, PM-7, RA-3, RA-5, RA-7, SC-7, SC-38, SI- 12.

Control Enhancements:

(1) SECURITY CATEGORIZATION | SECOND-LEVEL CATEGORIZATION

Conduct a second-level categorization of organizational systems to obtain additional granularity on system impact levels.

Supplemental Guidance: Organizations apply the “high water mark” concept to each of their systems categorized in accordance with FIPS Publication 199. This process results in systems designated as low impact, moderate impact, or high impact. Organizations desiring additional granularity in the system impact designations for risk-based decision making, can further partition the systems into sub-categories of the initial, first-level system categorization. For example, a second-level categorization on a moderate-impact system can produce three new sub-categories: low-moderate systems, moderate-moderate systems, and high-moderate systems. This secondary categorization and the resulting sub-categories of the system give organizations an opportunity to further prioritize their investments related to security control selection and the tailoring of control baselines in responding to identified risks. Second-level categorization can also be used to determine those systems that are exceptionally critical to organizational missions and business operations. These systems are sometimes described as high-value assets and thus, organizations may be more focused on complexity, aggregation, and interconnections. Such systems can be identified by partitioning high-impact systems into low-high systems, moderate-high systems, and high-high systems.

Related Controls: None.

References: FIPS Publications 199, 200; NIST Special Publications 800-30, 800-39, 800-60-1,

800-60-2.

 

RA-3      RISK ASSESSMENT

Control:

1. Conduct a risk assessment, including the likelihood and magnitude of harm, from:
   1. The unauthorized access, use, disclosure, disruption, modification, or destruction of the system, the information it processes, stores, or transmits, and any related information; and
   2. Privacy-related problems for individuals arising from the intentional processing of personally identifiable information;
2. Integrate risk assessment results and risk management decsions from the organization and missions/business process perspectives with system-level risk assessments;
3. Document risk assessment results in [Selection: security and privacy plans; risk assessment report; [Assignment: organization-defined document]];

 

1. Review risk assessment results [Assignment: organization-defined frequency];
2. Disseminate risk assessment results to [Assignment: organization-defined personnel or roles]; and
3. Update the risk assessment [Assignment: organization-defined frequency] or when there are significant changes to the system, its environment of operation, or other conditions that may impact the security or privacy state of the

Supplemental Guidance: Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments consider threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of systems. Risk assessments also take into account risk from external parties including, for example, individuals accessing organizational systems; contractors operating systems on behalf of the organization; service providers; and outsourcing entities.

Organizations can conduct risk assessments, either formal or informal, at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or 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, control selection, control implementation, control assessment, system authorization, and control monitoring. In addition to the information processed, stored, and transmitted by the system, risk assessments can also address any information related to the system including, for example, system design, the intended use of the system, testing results, and other supply chain-related information or artifacts. Assessments of risk can play an important role in security and privacy control selection processes, particularly during the application of tailoring guidance.

Related Controls: CA-3, CP-6, CP-7, IA-8, MA-5, PE-3, PE-18, PL-2, PL-10, PL-11, PM-8, PM-9, PM-32, RA-2, RA-5, RA-7, SA-9, SC-38, SI-12.

Control Enhancements:

• RISK ASSESSMENT | SUPPLY CHAIN RISK ASSESSMENT
  • Assess supply chain risks associated with [Assignment: organization-defined systems, system components, and system services]; and
  • Update the supply chain risk assessment [Assignment: organization-defined frequency], when there are significant changes to the relevant supply chain, or when changes to the system, environments of operation, or other conditions may necessitate a change in the supply

Supplemental Guidance: Supply chain-related events include, for example, disruption, theft, use of defective components, insertion of counterfeits, malicious development practices, improper delivery practices, and insertion of malicious code. These events can have a significant impact on the confidentiality, integrity, or availability of a system and its information and therefore, can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. The supply chain-related events may be unintentional or malicious and can occur at any point during the system life cycle. An analysis of supply chain risk can help an organization identify systems or components for which additional supply chain risk mitigations are required.

Related Controls: RA-2, RA-9, PM-17, SA-12.

References: NIST Special Publications 800-30, 800-39, 800-161; NIST Interagency Report 8023.

 

RA-4      RISK ASSESSMENT UPDATE

[Withdrawn: Incorporated into RA-3].

 

RA-5      VULNERABILITY SCANNING

Control:

1. Scan for vulnerabilities in the system and hosted applications [Assignment: organization- defined frequency and/or randomly in accordance with organization-defined process] and when new vulnerabilities potentially affecting the system are identified and reported;
2. Employ vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:
   1. Enumerating platforms, software flaws, and improper configurations;
   2. Formatting checklists and test procedures; and
   3. Measuring vulnerability impact;
3. Analyze vulnerability scan reports and results from control assessments;
4. Remediate legitimate vulnerabilities [Assignment: organization-defined response times] in accordance with an organizational assessment of risk;
5. Share information obtained from the vulnerability scanning process and control assessments with [Assignment: organization-defined personnel or roles] to help eliminate similar vulnerabilities in other systems; and
6. Employ vulnerability scanning tools that include the capability to readily update the vulnerabilities to be

Supplemental Guidance: Security categorization of information and systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for system components, ensuring that the potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. The vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This process helps to ensure that potential vulnerabilities in the system are identified and addressed as quickly as possible. Vulnerability analyses for custom software may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can use these analysis approaches in source code reviews and in a variety of tools including, for example, web-based application scanners, static analysis tools, and binary analyzers. Vulnerability scanning includes, for example, scanning for patch levels; scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and scanning for improperly configured or incorrectly operating information flow control mechanisms. Scanning tools that facilitate interoperability include, for example, products that are Security Content Automated Protocol (SCAP) validated. Thus, organizations consider using scanning tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine the presence of vulnerabilities. Sources for vulnerability information include, for example, the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). Control assessments such as red team exercises provide additional sources of potential vulnerabilities for which to scan. Organizations also consider using scanning tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).

Related Controls: CA-2, CA-7, CM-2, CM-4, CM-6, CM-8, RA-2, RA-3, SA-11, SA-12, SA-15, SC-38, SI-2, SI-3, SI-4, SI-7.

Control Enhancements:

• VULNERABILITY SCANNING | UPDATE TOOL CAPABILITY

[Withdrawn: Incorporated into RA-5].

• VULNERABILITY SCANNING | UPDATE BY FREQUENCY, PRIOR TO NEW SCAN, OR WHEN IDENTIFIED

Update the system vulnerabilities to be scanned [Selection (one or more): [Assignment: organization-defined frequency]; prior to a new scan; when new vulnerabilities are identified and reported].

 

Supplemental Guidance: None.

Related Controls: SI-5.

• VULNERABILITY SCANNING | BREADTH AND DEPTH OF COVERAGE

Employ vulnerability scanning procedures that can identify the breadth and depth of coverage.

Supplemental Guidance: The identification of the breadth and depth of coverage can include, for example, the system components scanned and the vulnerabilities checked.

Related Controls: None.

• VULNERABILITY SCANNING | DISCOVERABLE INFORMATION

Determine unintended discoverable information about the system and take [Assignment: organization-defined corrective actions].

Supplemental Guidance: Discoverable information includes information that adversaries could obtain without directly compromising or breaching the 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 system to make designated information less relevant or attractive to adversaries.

Related Controls: AU-13.

• VULNERABILITY SCANNING | PRIVILEGED ACCESS

Implements privileged access authorization to [Assignment: organization-identified system components] for [Assignment: organization-defined vulnerability scanning activities].

Supplemental Guidance: In certain situations, the nature of the vulnerability scanning may be more intrusive or the system component that is the subject of the scanning may contain classified or controlled unclassified information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and protects the sensitive nature of such scanning.

Related Controls: None.

• VULNERABILITY SCANNING | AUTOMATED TREND ANALYSES

Employ automated mechanisms to compare the results of vulnerability scans over time to determine trends in system vulnerabilities.

Supplemental Guidance: None.

Related Controls: None.

• VULNERABILITY SCANNING | AUTOMATED DETECTION AND NOTIFICATION OF UNAUTHORIZED COMPONENTS

[Withdrawn: Incorporated into CM-8].

• VULNERABILITY SCANNING | REVIEW HISTORIC AUDIT LOGS

Review historic audit logs to determine if a vulnerability identified in the system has been previously exploited.

Supplemental Guidance: None.

Related Controls: AU-6, AU-11.

• VULNERABILITY SCANNING | PENETRATION TESTING AND ANALYSES

[Withdrawn: Incorporated into CA-8].

• VULNERABILITY SCANNING | CORRELATE SCANNING INFORMATION

Correlate the output from vulnerability scanning tools to determine the presence of multi- vulnerability and multi-hop attack vectors.

Supplemental Guidance: None.

Related Controls: None.

References: NIST Special Publications 800-40, 800-70, 800-115, 800-126; NIST Interagency

Reports 7788, 8023.

 

RA-6      TECHNICAL SURVEILLANCE COUNTERMEASURES SURVEY

Control: Employ a technical surveillance countermeasures survey at [Assignment: organization- defined locations] [Selection (one or more): [Assignment: organization-defined frequency]; [Assignment: organization-defined events or indicators occur]].

Supplemental Guidance: Technical surveillance countermeasures surveys are performed by qualified personnel. Organizations use such surveys to detect the presence of technical surveillance devices and hazards and to identify technical security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities. In addition, technical surveillance countermeasures surveys provide evaluations of the technical security posture of organizations and facilities and include thorough visual, electronic, and physical examinations of surveyed facilities, both internally and externally. The surveys also provide useful input for organizational risk assessments and critical information regarding organizational exposure to potential adversaries.

Related Controls: None. Control Enhancements: None. References: None.

RA-7      RISK RESPONSE

Control: Respond to findings from security and privacy assessments, monitoring, and audits.

Supplemental Guidance: Organizations have a variety of options for responding to risk including: mitigating the risk by implementing new controls or strengthening existing controls; accepting the risk with appropriate justification or rationale; sharing or transferring the risk; or rejecting the risk. Organizational risk tolerance influences risk response decisions and actions. Risk response is also known as risk treatment. This control addresses the need to determine an appropriate response to risk before a plan of action and milestones entry is generated. For example, the response may be to accept risk or reject risk, or it may be possible to mitigate the risk immediately so a plan of action and milestones entry is not needed. However, if the risk response is to mitigate the risk and the mitigation cannot be completed immediately, a plan of action and milestones entry is generated.

Related Controls: CA-5, IR-9, PM-4, PM-32, RA-2, RA-3.

Control Enhancements: None.

References: FIPS Publications 199, 200; NIST Special Publications 800-30, 800-37, 800-39, 800-

160.

 

RA-8      PRIVACY IMPACT ASSESSMENTS

Control: Conduct privacy impact assessments for systems, programs, or other activities that pose a privacy risk before:

1. Developing or procuring information technology that collects, maintains, or disseminates information that is in an identifiable form; and
2. Initiating a new collection of information that:
   1. Will be collected, maintained, or disseminated using information technology; and
   2. Includes information in an identifiable form permitting the physical or online contacting of a specific individual, if identical questions have been posed to, or identical reporting requirements imposed on, ten or more persons, other than agencies, instrumentalities, or employees of the Federal

Supplemental Guidance: Privacy impact assessments are an analysis of how information is managed to ensure that such management conforms to applicable legal, regulatory, and policy requirements regarding privacy; to determine the associated privacy risks and effects of creating, collecting, using, processing, storing, maintaining, disseminating, disclosing, and disposing of information in

 

identifiable form in a system; and to examine and evaluate the protections and alternate processes for managing information to mitigate potential privacy concerns. A privacy impact assessment is an analysis and a formal document detailing the process and outcome of the analysis. To conduct the analysis, organizations use risk assessment processes. Although privacy impact assessments may be required by law, organizations may develop policies to require privacy impact assessments in circumstances where a privacy impact assessment would not be required by law.

Related Controls: IP-4, PA-2, PA-3, RA-1, RA-3, RA-7.

Control Enhancements: None.

References: None.

 

RA-9      CRITICALITY ANALYSIS

Control: Identify critical system components and functions by performing a criticality analysis for [Assignment: organization-defined systems, system components, or system services] at [Assignment: organization-defined decision points in the system development life cycle].

Supplemental Guidance: Not all system components, functions, or services necessarily require significant protections. Criticality analysis is a key tenet of, for example, supply chain risk management, and informs the prioritization of protection activities. The identification of critical system components and functions considers applicable regulations, directives, policies, standards, and guidelines, system functionality requirements, system and component interfaces, and system and component dependencies. Systems engineers conduct an end-to-end functional decomposition of a 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 system boundary.

The operational environment of a system or component may impact the criticality including, for example, the connections to and dependencies on cyber-physical systems, devices, system-of- systems, and outsourced IT services. System components that allow unmediated access to critical system components or functions are considered critical due to the inherent vulnerabilities such components create. Component and function criticality are assessed in terms of the impact of a component or function failure on the organizational missions supported by the system containing those components and functions. A criticality analysis is performed when an architecture or design is being developed, modified, or upgraded. If done early in the system life cycle, organizations may consider modifying the system design to reduce the critical nature of these components and functions by, for example, adding redundancy or alternate paths into the system design.

Related Controls: CP-2, PL-2, PL-8, PL-11, PM-1, SA-8, SA-12, SA-15, SA-20.

Control Enhancements: None.

References: None.

 

3.18     SYSTEM AND SERVICES ACQUISITION

 

Quick link to System and Services Acquisition summary table

 

SA-1      SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES

Control:

1. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]:
   1. A system and services acquisition policy that:
      • Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      • Is consistent with applicable laws, Executive Orders, directives, regulations, policies, standards, and guidelines; and
   2. Procedures to facilitate the implementation of the system and services acquisition policy and the associated system and services acquisition controls;
2. Designate an [Assignment: organization-defined senior management official] to manage the system and services acquisition policy and procedures;
3. Review and update the current system and services acquisition:
   1. Policy [Assignment: organization-defined frequency]; and
   2. Procedures [Assignment: organization-defined frequency];
4. Ensure that the system and services acquisition procedures implement the system and services acquisition policy and controls; and
5. Develop, document, and implement remediation actions for violations of the system and services acquisition

Supplemental Guidance: This control addresses the establishment of policy and procedures for the effective implementation of the controls and control enhancements in the SA family. The risk management strategy is an important factor in establishing policy and procedures. Comprehensive policy and procedures help provide security and privacy assurance. Security and privacy 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 security and privacy policy or can be represented by multiple policies reflecting the complex nature of organizations.

The procedures can be established for security and privacy programs and for systems, if needed. Procedures describe how policies or controls are implemented and can be directed at the personnel or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. It is important to recognize that restating controls does not constitute an organizational policy or procedure.

Related Controls: PM-9, PS-8, SI-12.

Control Enhancements: None.

References: NIST Special Publications 800-12, 800-30, 800-39, 800-100.

 

SA-2      ALLOCATION OF RESOURCES

Control:

1. Determine information security and privacy requirements for the system or system service in mission and business process planning;

 

1. Determine, document, and allocate the resources required to protect the system or system service as part of the organizational capital planning and investment control process; and
2. Establish a discrete line item for information security and privacy in organizational programming and budgeting

Supplemental Guidance: Resource allocation for information security and privacy includes funding for system or service acquisition, sustainment, and supply chain concerns throughout the system development life cycle.

Related Controls: PL-7, PM-3, PM-11, SA-9.

Control Enhancements: None.

References: NIST Special Publication 800-65.

 

SA-3      SYSTEM DEVELOPMENT LIFE CYCLE

Control:

1. Manage the system using [Assignment: organization-defined system development life cycle] that incorporates information security and privacy considerations;
2. Define and document information security and privacy roles and responsibilities throughout the system development life cycle;
3. Identify individuals having information security and privacy roles and responsibilities; and
4. Integrate the organizational information security and privacy risk management process into system development life cycle

Supplemental Guidance: A system development life cycle process provides the foundation for the successful development, implementation, and operation of organizational systems. To apply the required security and privacy controls within the system development life cycle requires a basic understanding of information security and privacy, threats, vulnerabilities, adverse impacts, and risk to critical missions and business functions. The security engineering principles in SA-8 help individuals properly design, code, and test systems and system components. Organizations include qualified personnel including, for example, chief information security officers, security architects, security engineers, system security officers, and chief privacy officers in system development life cycle processes to ensure that established security and privacy requirements are incorporated into organizational systems. It is also important that developers include individuals on the development team that possess the requisite security and privacy expertise and skills to ensure that the needed security and privacy capabilities are effectively integrated into the system. Role-based security and privacy training programs can ensure that individuals having key security and privacy roles and responsibilities have the experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security and privacy requirements into enterprise architecture also ensures that important security and privacy considerations are addressed early in the system life cycle and that those considerations are directly related to organizational mission and business processes. This process also facilitates the integration of the information security and privacy architectures into the enterprise architecture, consistent with risk management strategy of the organization. Because the development life cycle of a system involves multiple organizations, including, for example, external suppliers, developers, integrators, and service providers, it is important to recognize that acquisition and supply chain risk management functions and controls play a significant role in the overall effective management of the system during that life cycle.

Related Controls: AT-3, PL-8, PM-7, SA-4, SA-5, SA-8, SA-11, SA-12, SA-15, SA-17, SA-18, SA- 22.

 

Control Enhancements:

• SYSTEM DEVELOPMENT LIFE CYCLE | MANAGE DEVELOPMENT ENVIRONMENT

Protect system development, test, and integration environments commensurate with risk throughout the system development life cycle for the system, system component, or system service.

Supplemental Guidance: None.

Related Controls: CM-2, CM-4, RA-3, SA-4.

• SYSTEM DEVELOPMENT LIFE CYCLE | USE OF LIVE DATA
  • Approve, document, and control the use of live data in development, test, and integration environments for the system, system component, or system service; and
  • Ensure development, test, and integration environments for the system, system component, or system service are protected at the same impact or classification level as any live data used.

Supplemental Guidance: Live data is also referred to as operational data. The 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 design, development, and testing of systems, system components, and system services.

Related Controls: RA-3.

• SYSTEM DEVELOPMENT LIFE CYCLE | TECHNOLOGY REFRESH

Plan for and implement a technology refresh schedule to support the system throughout the system development life cycle.

Supplemental Guidance: Technology refresh planning may encompass hardware, software, firmware, processes, personnel skill sets, suppliers, service providers, and facilities. The use of obsolete or nearing obsolete technology may increase security and privacy risks associated with, for example, unsupported components, components unable to implement security or privacy requirements, counterfeit or re-purposed components, slow or inoperable components, components from untrusted sources, inadvertent personnel error, or increased complexity.

Related Controls: None.

References: NIST Special Publications 800-30, 800-37, 800-64.

 

SA-4      ACQUISITION PROCESS

Control: Include the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the system, system component, or system service:

1. Security and privacy functional requirements;
2. Strength of mechanism requirements;
3. Security and privacy assurance requirements;
4. Security and privacy documentation requirements;
5. Requirements for protecting security and privacy documentation;
6. Description of the system development environment and environment in which the system is intended to operate;
7. Allocation of responsibility or identification of parties responsible for information security, privacy, and supply chain risk management; and
8. Acceptance

Supplemental Guidance: System components are discrete, identifiable information technology assets including, for example, hardware, software, or firmware. These components represent the building blocks of a system. System components typically consist of commercial information technology products. Security and privacy functional requirements include security and privacy capabilities, functions, and mechanisms. Strength requirements associated with such capabilities, functions,

 

and mechanisms include degree of correctness, completeness, resistance to tampering or bypass, and resistance to direct attack. Security and privacy assurance requirements include development processes, procedures, practices, and methodologies; and the evidence from development and assessment activities providing grounds for confidence that the required security and privacy functionality is implemented and possesses the required strength of mechanism. Security and privacy documentation requirements address all phases of the system development life cycle.

Security and privacy requirements are expressed in terms of security and privacy controls and control enhancements that have been selected through the tailoring process. The tailoring process includes, for example, the specification of parameter values using assignment and selection statements and platform dependencies and implementation information. Security and privacy documentation provides user and administrator guidance regarding the implementation and operation of security and privacy controls. The level of detail required in such documentation is based on the security categorization or classification level of the system and the degree to which organizations depend on the stated security or privacy capabilities, functions, or mechanisms to meet overall risk response expectations. Security and privacy requirements can include mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for systems, system components, and system services are defined in the same manner as such criteria for any organizational acquisition or procurement.

Related Controls: CM-6, CM-8, PS-7, SA-3, SA-5, SA-8, SA-11, SA-12, SA-15, SA-16, SA-17, SA-21.

Control Enhancements:

• ACQUISITION PROCESS | FUNCTIONAL PROPERTIES OF CONTROLS

Require the developer of the system, system component, or system service to provide a description of the functional properties of the controls to be implemented.

Supplemental Guidance: Functional properties of security and privacy controls describe the functionality (i.e., security or privacy 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.

Related Controls: None.

• ACQUISITION PROCESS | DESIGN AND IMPLEMENTATION INFORMATION FOR CONTROLS

Require the developer of the system, system component, or system service to provide design and implementation information for the selected controls that includes: [Selection (one or more): security-relevant external system interfaces; high-level design; low-level design; source code or hardware schematics; [Assignment: organization-defined design and implementation information]] at [Assignment: organization-defined level of detail].

Supplemental Guidance: Organizations may require different levels of detail in design and implementation documentation for controls implemented in organizational systems, system components, or system services based on mission and business requirements; requirements for trustworthiness and resiliency; and requirements for analysis and testing. 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 subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules and the interfaces between modules providing security-relevant functionality. Design and implementation documentation may include information such as manufacturer, version, serial number, verification hash signature, software libraries used, date of purchase or download, and the vendor or download source.

Source code and hardware schematics are referred to as the implementation representation of the system.

Related Controls: None.

• ACQUISITION PROCESS | DEVELOPMENT METHODS, TECHNIQUES, AND PRACTICES

Require the developer of the system, system component, or system service to demonstrate the use of a system development life cycle process that includes [Assignment: organization-defined systems engineering methods; [Selection (one or more): systems security engineering methods;

 

privacy engineering methods]; software development methods; testing, evaluation, assessment, verification, and validation methods; and quality control processes].

Supplemental Guidance: Following a system development life cycle that includes state-of-the- practice software development methods, systems engineering methods, systems security and privacy engineering methods, and quality control processes helps to reduce the number and severity of latent errors within systems, system components, and system services. Reducing the number and severity of such errors reduces the number of vulnerabilities in those systems, components, and services.

Related Controls: None.

• ACQUISITION PROCESS | ASSIGNMENT OF COMPONENTS TO SYSTEMS

[Withdrawn: Incorporated into CM-8(9)].

• ACQUISITION PROCESS | SYSTEM, COMPONENT, AND SERVICE CONFIGURATIONS

Require the developer of the system, system component, or system service to:

• Deliver the system, component, or service with [Assignment: organization-defined security configurations] implemented; and
• Use the configurations as the default for any subsequent system, component, or service reinstallation or

Supplemental Guidance: Security 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 default passwords have been changed.

Related Controls: None.

• ACQUISITION PROCESS | USE OF INFORMATION ASSURANCE PRODUCTS
  • Employ only government off-the-shelf or commercial off-the-shelf information assurance and information assurance-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
  • Ensure that these products have been evaluated and/or validated by NSA or in accordance with NSA-approved

Supplemental Guidance: Commercial off-the-shelf IA or IA-enabled information technology products used to protect classified information by cryptographic means may be required to use NSA-approved key management.

Related Controls: SC-8, SC-12, SC-13.

• ACQUISITION PROCESS | NIAP-APPROVED PROTECTION PROFILES
  • Limit the use of commercially provided information assurance and information assurance- 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
  • Require, 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 or NSA- approved.

Supplemental Guidance: None.

Related Controls: IA-7, SC-12, SC-13.

• ACQUISITION PROCESS | CONTINUOUS MONITORING PLAN FOR CONTROLS

Require the developer of the system, system component, or system service to produce a plan for continuous monitoring of security and privacy control effectiveness that contains the following: [Assignment: organization-defined level of detail].

Supplemental Guidance: The objective of continuous monitoring plans is to determine if the complete set of planned, required, and deployed security and privacy controls within the system, system component, or 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.

 

Related Controls: CA-7.

• ACQUISITION PROCESS | FUNCTIONS, PORTS, PROTOCOLS, AND SERVICES IN USE

Require the developer of the system, system component, or system service to identify the functions, ports, protocols, and services intended for organizational use.

Supplemental Guidance: The identification of functions, ports, protocols, and services early in the system development life cycle, for example, during the initial requirements definition and design phases, allows organizations to influence the design of the system, system component, or system service. This early involvement in the system 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 system service providers to do so. Early identification of functions, ports, protocols, and services avoids costly retrofitting of controls after the system, component, or system service has been implemented. SA-9 describes the requirements for external system services with organizations identifying which functions, ports, protocols, and services are provided from external sources.

Related Controls: CM-7, SA-9.

• ACQUISITION PROCESS | USE OF APPROVED PIV PRODUCTS

Employ only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational systems.

Supplemental Guidance: None.

Related Controls: IA-2, IA-8, PM-9.

References: ISO/IEC 15408; FIPS Publications 140-2, 201; NIST Special Publications 800-23,

800-35, 800-36, 800-37, 800-64, 800-70, 800-73, 800-137, 800-161; NIST Interagency Reports

7539, 7622, 7676, 7870, 8062.

 

SA-5      SYSTEM DOCUMENTATION

Control:

1. Obtain administrator documentation for the system, system component, or system service that describes:
   1. Secure configuration, installation, and operation of the system, component, or service;
   2. Effective use and maintenance of security and privacy functions and mechanisms; and
   3. Known vulnerabilities regarding configuration and use of administrative or privileged functions;
2. Obtain user documentation for the system, system component, or system service that describes:
   1. User-accessible security and privacy functions and mechanisms and how to effectively use those functions and mechanisms;
   2. Methods for user interaction, which enables individuals to use the system, component, or service in a more secure manner and protect individual privacy; and
   3. User responsibilities in maintaining the security of the system, component, or service and privacy of individuals;
3. Document attempts to obtain system, system component, or system service documentation when such documentation is either unavailable or nonexistent and takes [Assignment: organization-defined actions] in response;
4. Protect documentation as required, in accordance with the organizational risk management strategy; and
5. Distribute documentation to [Assignment: organization-defined personnel or roles].

 

Supplemental Guidance: This control helps organizational personnel understand the implementation and operation of security and privacy controls associated with systems, system components, and system services. Organizations consider establishing specific measures to determine the quality and completeness of the content provided. System documentation may be used, for example, to support the management of supply chain risk, incident response, and other functions. Personnel or roles requiring documentation may include, for example, system owners, system security officers, and system administrators. Attempts to obtain documentation may include, for example, directly contacting manufacturers or suppliers and conducting web-based searches. The inability to obtain needed documentation may occur, for example, due to the age of the system or 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 implementation or operation of the security and privacy controls. The level of protection provided for the system, component, or service documentation is commensurate with the security category or classification of the system. Documentation that addresses system vulnerabilities may require an increased level of protection. Secure operation of the system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.

Related Controls: CM-4, CM-6, CM-7, CM-8, PL-2, PL-4, PL-8, PS-2, SA-3, SA-4, SA-9, SA-10, SA-11, SA-15, SA-16, SA-17, SI-12.

Control Enhancements:

• SYSTEM DOCUMENTATION | FUNCTIONAL PROPERTIES OF SECURITY CONTROLS

[Withdrawn: Incorporated into SA-4(1)].

• SYSTEM DOCUMENTATION | SECURITY-RELEVANT EXTERNAL SYSTEM INTERFACES

[Withdrawn: Incorporated into SA-4(2)].

• SYSTEM DOCUMENTATION | HIGH-LEVEL DESIGN

[Withdrawn: Incorporated into SA-4(2)].

• SYSTEM DOCUMENTATION | LOW-LEVEL DESIGN

[Withdrawn: Incorporated into SA-4(2)].

• SYSTEM DOCUMENTATION | SOURCE CODE

[Withdrawn: Incorporated into SA-4(2)].

References: None.

 

SA-6      SOFTWARE USAGE RESTRICTIONS

[Withdrawn: Incorporated into CM-10 and SI-7].

 

SA-7      USER-INSTALLED SOFTWARE

[Withdrawn: Incorporated into CM-11 and SI-7].

 

SA-8      SECURITY AND PRIVACY ENGINEERING PRINCIPLES

Control: Apply [Assignment: organization-defined systems security engineering principles] in the specification, design, development, implementation, and modification of the system and system components.

Supplemental Guidance: Organizations can apply systems security and privacy engineering principles to new systems under development or to systems undergoing upgrades. For legacy systems, organizations apply systems security and privacy engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems. The application of systems security and privacy engineering concepts and principles help to develop trustworthy, secure systems and system components and reduce the susceptibility of organizations to disruptions, hazards, threats, and creating privacy-related problems for individuals. Examples of these concepts and principles include, developing layered protections; establishing security and privacy policies, architecture,

 

and controls as the foundation for design and development; incorporating security and privacy requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; tailoring security and privacy controls to meet organizational and operational needs; performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk. Organizations that apply security and privacy engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and system services; reduce risk to acceptable levels; and make informed risk management decisions. Security engineering principles can also be used to protect against certain supply chain risks including, for example, incorporating tamper-resistant hardware into a design.

Related Controls: PL-8, PM-7, RA-2, RA-3, RA-9, SA-3, SA-4, SA-12, SA-15, SA-17, SA-20, SC- 2, SC-3, SC-32, SC-39.

Control Enhancements: None.

References: FIPS Publications 199, 200; NIST Special Publications 800-53A, 800-60-1, 800-60-2,

800-64, 800-160; NIST Interagency Report 8062.

 

SA-9      EXTERNAL SYSTEM SERVICES

Control:

1. Require that providers of external system services comply with organizational security and privacy requirements and employ [Assignment: organization-defined security and privacy controls];
2. Define and document organizational oversight and user roles and responsibilities with regard to external system services; and
3. Employ [Assignment: organization-defined processes, methods, and techniques] to monitor security and privacy control compliance by external service providers on an ongoing

Supplemental Guidance:  External system services are those services that are implemented external to authorization boundaries of organizational systems. This includes services that are used by, but not a part of, organizational systems. Organizations establish relationships with external service providers in a variety of ways including, for example, through business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, joint ventures, and supply chain exchanges. The responsibility for managing risks from the use of external 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 provider in the 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 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 implemented security and privacy controls; describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.

Related Controls: CA-3, CP-2, IR-4, IR-7, PL-10, PL-11, PS-7, SA-2, SA-4, SA-12.

Control Enhancements:

• EXTERNAL SYSTEM SERVICES | RISK ASSESSMENTS AND ORGANIZATIONAL APPROVALS
  • Conduct an organizational assessment of risk prior to the acquisition or outsourcing of information security services; and
  • Verify that the acquisition or outsourcing of dedicated information security services is approved by [Assignment: organization-defined personnel or roles].

Supplemental Guidance: Examples of information security services include the operation of security devices such as firewalls, or key management services; and incident monitoring,

 

analysis and response. Risks assessed may include, for example, system-related, mission- related, privacy-related, or supply chain-related risks.

Related Controls: CA-6, RA-3.

• EXTERNAL SYSTEM SERVICES | IDENTIFICATION OF FUNCTIONS, PORTS, PROTOCOLS, AND SERVICES

Require providers of [Assignment: organization-defined external system services] to identify the functions, ports, protocols, and other services required for the use of such services.

Supplemental Guidance: Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be useful when the need arises to understand the trade-offs involved in restricting certain functions and services or blocking certain ports and protocols.

Related Controls: CM-6, CM-7.

• EXTERNAL SYSTEM SERVICES | ESTABLISH AND MAINTAIN TRUST RELATIONSHIP WITH PROVIDERS

Establish, document, and maintain trust relationships with external service providers based on [Assignment: organization-defined security and privacy requirements, properties, factors, or conditions defining acceptable trust relationships].

Supplemental Guidance: The 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 organizations to gain increased levels of confidence that participating service providers are providing adequate protection for the services rendered. They can also be useful when conducting incident response or when planning for upgrades or obsolescence. Trust relationships can be complicated due to the number of potential entities participating in the consumer-provider interactions, subordinate relationships and levels of trust, and types of interactions between the parties. In some cases, the degree of trust is based on the level of control organizations can exert on external service providers regarding the controls necessary for the protection of the service, information, or individual privacy and the evidence brought forth as to the effectiveness of the implemented controls. The level of control is established by the terms and conditions of the contracts or service-level agreements. Extensive control may include negotiating contracts or agreements that specify security and privacy requirements for providers. Limited control may include using contracts or service-level agreements to obtain commodity services such as commercial telecommunications services.

Related Controls: SA-12.

• EXTERNAL SYSTEM SERVICES | CONSISTENT INTERESTS OF CONSUMERS AND PROVIDERS

Take [Assignment: organization-defined actions] to verify that the interests of [Assignment: organization-defined external service providers] are consistent with and reflect organizational interests.

Supplemental Guidance: As organizations increasingly use external service providers, it is possible that the interests of the service providers may diverge from organizational interests. In such situations, simply having the required technical, management, or operational controls in place may not be sufficient if the providers that implement and manage those controls are not operating in a manner consistent with the interests of the consuming organizations. The 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, including providers with which organizations have had successful trust relationships; and conducting routine periodic, unscheduled visits to service provider facilities.

Related Controls: None.

• EXTERNAL SYSTEM SERVICES | PROCESSING, STORAGE, AND SERVICE LOCATION

Restrict the location of [Selection (one or more): information processing; information or data; system services] to [Assignment: organization-defined locations] based on [Assignment: organization-defined requirements or conditions].

Supplemental Guidance: The location of information processing, information and data storage, or system services that are critical to organizations can have a direct impact on the ability of

 

those organizations to successfully execute their missions and business functions. This occurs when external providers control the location of processing, storage, or services. The criteria that external providers use for the selection of processing, storage, or service locations may be different from the criteria organizations use. For example, organizations may desire that data or information storage locations are restricted to certain locations to help facilitate incident response activities in case of information security or privacy incidents. Such incident response activities including, for example, forensic analyses and after-the-fact investigations, may be adversely affected by the governing laws or protocols in the locations where processing and storage occur and/or the locations from which system services emanate.

Related Controls: SA-5, SA-12.

• EXTERNAL SYSTEM SERVICES | ORGANIZATION-CONTROLLED CRYPTOGRAPHIC KEYS

Maintain exclusive control of cryptographic keys.

Supplemental Guidance: Maintaining exclusive control of cryptographic keys in an external system prevents decryption of organizational data by external system staff. This enhancement can be implemented, for example, by encrypting and decrypting data inside the organization as data is sent to and received from the external system or through use of a component that permits encryption and decryption functions to be local to the external system, but allows the organization exclusive access to encryption keys.

Related Controls: SC-12, SC-13, SI-4.

• EXTERNAL SYSTEM SERVICES | ORGANIZATION-CONTROLLED INTEGRITY CHECKING

Provide the capability to check the integrity of organizational information while it resides in the external system.

Supplemental Guidance: Storage of organizational information in an external system could limit organizational visibility into the security status of its data. The ability for the organization to verify and validate the integrity of its stored data without transferring it out of the external system provides such visibility.

Related Controls: SI-7.

References: NIST Special Publications 800-35, 800-161.

 

SA-10 DEVELOPER CONFIGURATION MANAGEMENT

Control: Require the developer of the system, system component, or system service to:

1. Perform configuration management during system, component, or service [Selection (one or more): design; development; implementation; operation; disposal];
2. Document, manage, and control the integrity of changes to [Assignment: organization-defined configuration items under configuration management];
3. Implement only organization-approved changes to the system, component, or service;
4. Document approved changes to the system, component, or service and the potential security and privacy impacts of such changes; and
5. Track security flaws and flaw resolution within the system, component, or service and report findings to [Assignment: organization-defined personnel].

Supplemental Guidance: Organizations consider the quality and completeness of the configuration management activities conducted by developers as direct evidence of applying effective security controls. Controls include, for example, protecting from unauthorized modification or destruction, the master copies of material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the system, system component, or system service requires strict configuration control throughout the system development life cycle to track authorized changes and to prevent unauthorized changes. The configuration items that are placed under configuration management include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code

 

and hardware schematics; the current running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and source code with previous versions; and test fixtures and documentation. Depending on the mission and 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 system life cycle.

Related Controls: CM-2, CM-3, CM-4, CM-7, CM-9, SA-4, SA-5, SA-12, SI-2.

Control Enhancements:

• DEVELOPER CONFIGURATION MANAGEMENT | SOFTWARE AND FIRMWARE INTEGRITY VERIFICATION

Require the developer of the system, system component, or system service to enable integrity verification of software and firmware components.

Supplemental Guidance: This control enhancement allows organizations to detect unauthorized changes to software and firmware components using developer-provided tools, techniques, and mechanisms. 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.

Related Controls: SI-7.

• DEVELOPER CONFIGURATION MANAGEMENT | ALTERNATIVE CONFIGURATION MANAGEMENT PROCESSES

Provide an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team.

Supplemental Guidance: Alternate configuration management processes may be required, for example, when organizations use commercial off-the-shelf information technology products. Alternate configuration management processes include organizational personnel that review and approve proposed changes to systems, system components, and system services; and that conduct security and privacy impact analyses prior to the implementation of changes to systems, components, or services.

Related Controls: None.

• DEVELOPER CONFIGURATION MANAGEMENT | HARDWARE INTEGRITY VERIFICATION

Require the developer of the system, system component, or system service to enable integrity verification of hardware components.

Supplemental Guidance: This control enhancement allows organizations to detect unauthorized changes to hardware components using developer-provided tools, techniques, methods, and mechanisms. 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.

Related Controls: SI-7.

• DEVELOPER CONFIGURATION MANAGEMENT | TRUSTED GENERATION

Require the developer of the system, system component, or system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions, source code, and object code with previous versions.

Supplemental Guidance: This control enhancement addresses authorized changes to hardware, software, and firmware components between versions during development. The focus is on the efficacy of the configuration management process by the developer to ensure that newly generated versions of security-relevant hardware descriptions, source code, and object code continue to enforce the security policy for the system, system component, or system service. In contrast, SA-10(1) and SA-10(3) allow organizations to detect unauthorized changes to hardware, software, and firmware components using tools, techniques, and/or mechanisms provided by developers.

Related Controls: None.

 

• DEVELOPER CONFIGURATION MANAGEMENT | MAPPING INTEGRITY FOR VERSION CONTROL

Require the developer of the system, system component, or 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.

Supplemental Guidance: This 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 systems supporting critical missions and business functions.

Related Controls: None.

• DEVELOPER CONFIGURATION MANAGEMENT | TRUSTED DISTRIBUTION

Require the developer of the system, system component, or 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.

Supplemental Guidance: The trusted distribution of security-relevant hardware, software, and firmware updates ensure that such updates are correct representations of the master copies maintained by the developer and have not been tampered with during distribution.

Related Controls: None.

References: FIPS Publications 140-2, 180-4, 202; NIST Special Publication 800-128.

 

SA-11 DEVELOPER TESTING AND EVALUATION

Control: Require the developer of the system, system component, or system service, at all post- design phases of the system development life cycle, to:

1. Create and implement a security and privacy assessment plan;
2. Perform [Selection (one or more): unit; integration; system; regression] testing/evaluation [Assignment: organization-defined frequency] at [Assignment: organization-defined depth and coverage];
3. Produce evidence of the execution of the assessment plan and the results of the testing and evaluation;
4. Implement a verifiable flaw remediation process; and
5. Correct flaws identified during testing and

Supplemental Guidance: Developmental testing and evaluation confirms that the required security and privacy controls are implemented correctly, operating as intended, enforcing the desired security and privacy policies, and meeting established security and privacy requirements. Security properties of systems and the privacy of individuals may be affected by the interconnection of system components or changes to those components. These interconnections or changes including, for example, upgrading or replacing applications, operating systems, and firmware, may adversely affect previously implemented security and privacy controls. This control provides additional types of testing and 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 use these analysis approaches in a variety of tools and in source code reviews. Security and privacy 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 testing and evaluation refers to the rigor and level of detail associated with the assessment process. The coverage of testing and 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 and privacy assessment plans, flaw remediation processes, and the evidence that the plans and

 

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 system. Contracts may specify documentation protection requirements.

Related Controls: CA-2, CA-7, CM-4, SA-3, SA-4, SA-5, SA-12, SA-15, SA-17, SI-2.

Control Enhancements:

• DEVELOPER TESTING AND EVALUATION | STATIC CODE ANALYSIS

Require the developer of the system, system component, or system service to employ static code analysis tools to identify common flaws and document the results of the analysis.

Supplemental Guidance: Static code analysis provides a technology and methodology for security reviews and may include, for example, checking for weaknesses in the code and checking for incorporation of libraries or other included code with known vulnerabilities or that are out-of-date and not supported. Such analysis can be used to identify vulnerabilities and enforce secure 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 remediated. An excessively high density of ignored findings, commonly referred to as false positives, indicates a potential problem with the analysis process or the analysis tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.

Related Controls: None.

• DEVELOPER TESTING AND EVALUATION | THREAT MODELING AND VULNERABILITY ANALYSES

Require the developer of the system, system component, or system service to perform threat modeling and vulnerability analyses at [Assignment: organization-defined breadth and depth] during development and during the subsequent testing and evaluation of the system, component, or service that:

• Uses [Assignment: organization-defined information concerning impact, environment of operations, known or assumed threats, and acceptable risk levels];
• Employs [Assignment: organization-defined tools and methods]; and
• Produces evidence that meets [Assignment: organization-defined acceptance criteria].

Supplemental Guidance: Systems, system components, and system services may deviate significantly from the functional and design specifications created during the requirements and design phases of the system development life cycle. Therefore, threat modeling and vulnerability analyses of those systems, system components, and system services prior to delivery are critical to the effective operation of those systems, components, and services. Threat modeling and vulnerability analyses at this phase of the system development life cycle ensure that design and implementation changes have been accounted for and vulnerabilities created because of those changes have been reviewed and mitigated.

Related controls: PM-15, RA-3, RA-5.

• DEVELOPER TESTING AND EVALUATION | INDEPENDENT VERIFICATION OF ASSESSMENT PLANS AND EVIDENCE
  • Require an independent agent satisfying [Assignment: organization-defined independence criteria] to verify the correct implementation of the developer security and privacy assessment plans and the evidence produced during testing and evaluation; and
  • Verify that the independent agent is provided with sufficient information to complete the verification process or granted the authority to obtain such

Supplemental Guidance: Independent agents have the necessary qualifications, including the expertise, skills, training, certifications, and experience, to verify the correct implementation of developer security and privacy assessment plans.

Related Controls: AT-3, RA-5.

 

• DEVELOPER TESTING AND EVALUATION | MANUAL CODE REVIEWS

Require the developer of the system, system component, or system service to perform a manual code review of [Assignment: organization-defined specific code] using [Assignment: organization- defined processes, procedures, and/or techniques].

Supplemental Guidance: Manual code reviews are usually reserved for the critical software and firmware components of systems. Such code reviews are effective in identifying weaknesses that require knowledge of the application’s requirements or context which in most cases, are unavailable to automated analytic tools and techniques including static and 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.

Related Controls: None.

• DEVELOPER TESTING AND EVALUATION | PENETRATION TESTING

Require the developer of the system, system component, or system service to perform penetration testing at [Assignment: organization-defined breadth and depth] and with [Assignment: organization-defined constraints].

Supplemental Guidance: Penetration testing is an assessment methodology in which assessors, using all available information technology product or system documentation and working under specific constraints, attempt to circumvent implemented security and privacy features of information technology products and systems. Useful information for assessors conducting penetration testing can include, for example, product and system design specifications, source code, and administrator and operator manuals. Penetration testing can include white-box, gray-box, or black box testing with associated analyses performed by skilled professionals simulating adversary actions. The objective of penetration testing is to uncover the potential vulnerabilities in systems, system components and services resulting from implementation errors, configuration faults, or other operational 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.

Related Controls: CA-8.

• DEVELOPER TESTING AND EVALUATION | ATTACK SURFACE REVIEWS

Require the developer of the system, system component, or system service to perform attack surface reviews.

Supplemental Guidance: Attack surfaces of systems and system components are exposed areas that make those systems more vulnerable to attacks. This includes any accessible areas where weaknesses or deficiencies in the hardware, software, and firmware components provide opportunities for adversaries to exploit vulnerabilities. Attack surface reviews ensure that developers analyze the design and implementation changes to systems and mitigate attack vectors generated as a result of the changes. Correction of identified flaws includes, for example, deprecation of unsafe functions.

Related Controls: None.

• DEVELOPER TESTING AND EVALUATION | VERIFY SCOPE OF TESTING AND EVALUATION

Require the developer of the system, system component, or system service to verify that the scope of testing and evaluation provides complete coverage of required security and privacy controls at [Assignment: organization-defined depth of testing and evaluation].

Supplemental Guidance: Verifying that testing and evaluation provides complete coverage of required security and privacy 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 control coverage at the highest levels of assurance can be provided using formal modeling and analysis techniques including correlation between control implementation and corresponding test cases.

Related Controls: None.

 

• DEVELOPER TESTING AND EVALUATION | DYNAMIC CODE ANALYSIS

Require the developer of the system, system component, or system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.

Supplemental Guidance: Dynamic 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 ensure that security functionality performs in the way 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 associated 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).

Related Controls: None.

References: ISO/IEC 15408; NIST Special Publications 800-30, 800-53A, 800-154.

 

SA-12 SUPPLY CHAIN RISK MANAGEMENT

Control:

1. Employ [Assignment: organization-defined supply chain safeguards] to protect against supply chain risks to the system, system component, or system service and to limit the harm or consequences from supply chain-related events; and
2. Document the selected and implemented supply chain safeguards in [Selection: security and privacy plans; supply chain risk management plan; [Assignment: organization-defined document]].

Supplemental Guidance: Supply chain-related events including, for example, disruption, theft, insertion of counterfeits, insertion of malicious code, malicious development practices, improper delivery practices, and use of defective components, can adversely impact the confidentiality, integrity, or availability of information processed, stored, or transmitted by a system. Such events can also adversely impact organizational operations (including mission, functions, image, or reputation), organizational assets, individuals, other organizations, and the Nation. Supply chain- related events may be unintentional or malicious and occur at any point during the system life cycle. Managing supply chain risks involves gaining visibility and understanding of the processes and procedures used to protect the system, system component, or system service throughout the system life cycle. This allows organizations to make appropriate acquisition decisions and to identify appropriate mitigation strategies. A supply chain risk management plan includes, for example, an unambiguous expression of the supply chain risk tolerance for the system, acceptable supply chain risk mitigation strategies or controls, a description of and justification for supply chain protection measures taken, a process for consistently evaluating and monitoring supply chain risk, approaches for implementing and communicating the supply chain risk management plan, and associated roles and responsibilities.

Related Controls: AT-3, CM-8, IR-4, IR-6, MA-2, MA-6, PE-3, PE-16, PL-8, PM-31, RA-3, RA-7,

RA-9, SA-2, SA-3, SA-4, SA-5, SA-8, SA-9, SA-10, SA-15, SA-18, SA-19, SC-7, SC-29, SC-30, SC-38, SI-7.

Control Enhancements:

• SUPPLY CHAIN RISK MANAGEMENT | ACQUISITION STRATEGIES, TOOLS, AND METHODS

Employ [Assignment: organization-defined acquisition strategies, contract tools, and procurement methods] to protect against, identify, and mitigate supply chain risks.

Supplemental Guidance: The use of the acquisition process early in the system development life cycle provides an important vehicle to protect the supply chain. There are many useful tools

 

and techniques available including, for example, obscuring the end use of a system or system component, using blind or filtered buys, requiring tamper-evident packaging, or using trusted or controlled distribution. The results from a supply chain risk assessment can inform which strategies, tools, and methods are most applicable to the situation. Tools and techniques may provide protections against the insertion of counterfeits, tampering, theft, unauthorized production, insertion of malicious software, as well as poor manufacturing and development practices throughout the system development life cycle. Organizations also consider creating incentives for suppliers who implement security and privacy controls; promote transparency into their organizational processes and security and privacy practices; provide additional vetting of the processes and practices of subordinate suppliers, critical system components, and services; restrict purchases from specific suppliers; and provide contract language that addresses the prohibition of tainted or counterfeit components. Finally, organizations consider providing training, education, and awareness programs for organizational personnel regarding supply chain risk, available mitigation strategies, and when they should be used. 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.

Related Controls: None.

• SUPPLY CHAIN RISK MANAGEMENT | SUPPLIER REVIEWS

Review the supply chain-related risks associated with suppliers or contractors and the system, system component, or system service they provide [Assignment: organization-defined frequency].

Supplemental Guidance: A review of supplier risk may include, for example, the ability of the supplier to effectively assess or vet any subordinate second-tier and third-tier suppliers and contractors. These reviews may be conducted by the organization or by an independent third party. The reviews consider documented processes, documented controls, publicly available information related to the supplier or contractor, and all-source intelligence where possible. The organization can use open-source information to monitor for indications of stolen CUI, poor development and quality control practices, information spillage, or counterfeits. In some cases, it may be appropriate to share review results with other organizations in accordance with any applicable inter-organizational agreements or contracts.

Related Controls: None.

• SUPPLY CHAIN RISK MANAGEMENT | TRUSTED SHIPPING AND WAREHOUSING

[Withdrawn: Incorporated into SA-12(1)].

• SUPPLY CHAIN RISK MANAGEMENT | DIVERSITY OF SUPPLIERS

[Withdrawn: Incorporated into SA-12(13)].

• SUPPLY CHAIN RISK MANAGEMENT | LIMITATION OF HARM

Employ [Assignment: organization-defined safeguards] to limit harm from potential adversaries identifying and targeting the organizational supply chain.

Supplemental Guidance: Safeguards that can be implemented to reduce the probability of adversaries successfully identifying and targeting the supply chain include, for example, avoiding the purchase of custom or non-standardized configurations; employing a diverse set of suppliers; employing approved vendor lists with standing reputations in industry; using procurement carve outs that provide exclusions to commitments or obligations; and designing the system to include diversity of materials, components, and paths. In addition, organizations consider minimizing the time between purchase decisions and required delivery to limit the opportunities for adversaries to corrupt system components.

Related Controls: None.

• SUPPLY CHAIN RISK MANAGEMENT | MINIMIZING PROCUREMENT TIME

[Withdrawn: Incorporated into SA-12(1)].

• SUPPLY CHAIN RISK MANAGEMENT | ASSESSMENTS PRIOR TO SELECTION, ACCEPTANCE, AND UPDATE

Assess the system, system component, or system service prior to selection, acceptance, modification, or update.

 

Supplemental Guidance: Organizational personnel or independent, external entities conduct assessments of systems, components, products, tools, and services to uncover unintentional and intentional vulnerabilities, evidence of tampering, or evidence of non-compliance with supply chain controls. These include, for example, malicious code, malicious processes, defective software, and counterfeits. Assessments can include, for example, visual or physical inspection; evaluations; design proposal reviews; static and dynamic analyses; visual, x-ray, or magnetic particle inspections; simulations; white, gray, and black box testing; fuzz testing; stress testing; and penetration testing. Organizations can also ensure that the components or services are genuine by using, for example, tags, cryptographic hash verifications, or digital signatures. Evidence generated during security assessments is documented for follow-on actions carried out by organizations.

Related Controls: CA-2, CA-8, RA-5, SA-11, SI-7.

• SUPPLY CHAIN RISK MANAGEMENT | USE OF ALL-SOURCE INTELLIGENCE

Use all-source intelligence to assist in the analysis of supply chain risk.

Supplemental Guidance: Organizations employ all-source intelligence to inform engineering, acquisition, and supply chain risk management decisions. All-source intelligence consists of information derived from all available sources, including, for example, publicly available or open-source information; human intelligence; signals intelligence; imagery intelligence; and measurement and signature intelligence. This information is used to analyze the risk of intentional and unintentional vulnerabilities from development, manufacturing, and delivery processes, people, and the environment. This review may be performed on suppliers at multiple tiers in the supply chain sufficient to manage risks. Organizations may develop agreements to share all-source intelligence information or resulting decisions with other organizations, as appropriate.

Related Controls: None.

• SUPPLY CHAIN RISK MANAGEMENT | OPERATIONS SECURITY

Employ [Assignment: organization-defined Operations Security (OPSEC) safeguards] to protect supply chain-related information for the system, system component, or system service.

Supplemental Guidance: Supply chain information includes, for example, user identities; uses for systems, system components, and system services; supplier identities; supplier processes; security requirements; design specifications; testing and evaluation results; and system and 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 identify those actions that can be observed by potential adversaries; determine indicators that potential adversaries might obtain that could be interpreted or pieced together to derive information in sufficient time to cause harm to organizations; implement safeguards or countermeasures to eliminate or reduce to an acceptable level, exploitable vulnerabilities; and finally, consider how aggregated information may compromise the confidentiality of users or the specific uses of the supply chain. OPSEC may require organizations to withhold specific mission/business information from suppliers and may include the use of intermediaries to hide the end use, or users of systems, system components, or system services.

Related Controls: SC-38.

• SUPPLY CHAIN RISK MANAGEMENT | VALIDATE AS GENUINE AND NOT ALTERED

Employ [Assignment: organization-defined security safeguards] to validate that the system or system component received is genuine and has not been altered.

Supplemental Guidance: For many systems and system components, especially hardware, there are technical means to determine if the items are genuine or have been altered, including, for example, optical and nanotechnology tagging; physically unclonable functions; side-channel analysis; and visible anti-tamper stickers and labels. Safeguards can also include monitoring for out of specification performance, which can be an indicator of tampering or counterfeits. Suppliers and contractors may have processes for validating that a system or component is genuine and has not been altered, and for replacing a suspect system or component, which the

 

organization may leverage. Some indications of tampering may be visible and addressable before accepting delivery including, for example, broken seals, inconsistent packaging, and incorrect labels. The organization may consider providing training to appropriate personnel on how to identify suspicious system or component deliveries. When a system or component is suspected of being altered or counterfeit, the organization considers notifying the supplier, contractor, or original equipment manufacturer who may be able to replace the item or provide a forensic capability to determine the origin of the counterfeit or altered item.

Related Controls: SA-19.

• SUPPLY CHAIN RISK MANAGEMENT | PENETRATION TESTING AND ANALYSIS

Employ [Selection (one or more): organizational analysis, independent third-party analysis, organizational penetration testing, independent third-party penetration testing] of [Assignment: organization-defined supply chain elements, processes, and actors] associated with the system, system component, or system service.

Supplemental Guidance: This control enhancement addresses analysis or testing of the supply chain. It also considers the relationships or linkages between entities and procedures within the supply chain including, for example, development and delivery. Supply chain elements include system components that contain programmable logic and that are critically important to system functions. Supply chain processes include, for example, hardware, software, and firmware development processes; shipping and handling procedures; personnel and physical security programs; configuration management tools, techniques, and measures to maintain provenance; and programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain actors are individuals with specific roles and responsibilities in the supply chain. The evidence generated and collected during analyses and testing of supply chain elements, processes, and actors is documented and used to inform organizational risk management activities and decisions.

Related Controls: RA-5.

• SUPPLY CHAIN RISK MANAGEMENT | NOTIFICATION AGREEMENTS

Establish agreements and procedures with entities involved in the supply chain for the system, system component, or system service for the [Selection (one or more): notification of supply chain compromises; results of assessments or audits; [Assignment: organization-defined information]].

Supplemental Guidance: The establishment of agreements and procedures provides for formal communications among supply chain entities. Early notification of compromises in the supply chain that can potentially adversely affect or have adversely affected organizational systems, including critical system components, is essential for organizations to effectively respond to such incidents. The results of assessments or audits may include open-source information that contributed to a decision or result and could be used to help the supply chain entity resolve a concern or improve its processes.

Related Controls: IR-8.

• SUPPLY CHAIN RISK MANAGEMENT | CRITICAL SYSTEM COMPONENTS

[Withdrawn: Incorporated into MA-6 and RA-9].

• SUPPLY CHAIN RISK MANAGEMENT | IDENTITY AND TRACEABILITY

Establish and maintain unique identification of [Assignment: organization-defined supply chain elements, processes, and personnel] associated with the [Assignment: organization-defined system, critical system components].

Supplemental Guidance: Knowing who and what is in the supply chains of organizations is critical to gaining visibility into what is happening within such supply chains. It is also important for monitoring and identifying high-risk events and activities. Without reasonable visibility and traceability into supply chains (i.e., elements, processes, and personnel), it is very difficult for organizations to understand, and therefore manage risk, and ultimately reduce the likelihood of or susceptibility to adverse events. Supply chain elements are systems or system components that contain programmable logic and that are critically important to system functions. Supply chain processes include, for example, hardware, software, and firmware development processes; shipping and handling procedures; personnel and physical security programs; configuration management tools, techniques, and measures to maintain

 

provenance; or other programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain personnel are individuals in the supply chain with specific roles and responsibilities related to, for example, the secure development, delivery, maintenance, and disposal of a system or system component. Tracking the unique identifiers of supply chain elements, processes, and personnel establishes a foundational identity structure for assessment of supply chain activities and for the establishment and maintenance of provenance. For example, supply chain elements may be labeled using serial numbers or tagged using radio-frequency identification tags. These labels and tags can help provide the organization better visibility into the provenance of that element. Identification methods are sufficient to support a forensic investigation in the event of a supply chain compromise or event.

Related Controls: CM-8, IA-2, IA-8.

• SUPPLY CHAIN RISK MANAGEMENT | PROCESSES TO ADDRESS WEAKNESSES OR DEFICIENCIES

Establish a process or processes to address weaknesses or deficiencies in supply chain elements in coordination with [Assignment: organization-defined supply chain personnel].

Supplemental Guidance: Supply chain elements are system or system components that contain programmable logic and that are critically important to system functions. Supply chain processes include, for example, hardware, software, and firmware development processes; shipping and handling procedures; personnel and physical security programs; configuration management tools, techniques, and measures to maintain provenance; or other programs, processes, or procedures associated with the production and distribution of supply chain elements. Supply chain personnel are individuals with specific roles and responsibilities in the supply chain. The evidence generated during the independent or organizational assessments of designated supply chain elements may be used to improve the supply chain processes and inform the organization’s supply chain risk management process. The evidence can also be leveraged in follow-on assessments. Evidence and other related documentation may be shared in accordance with organizational agreements.

Related Controls: None.

• SUPPLY CHAIN RISK MANAGEMENT | PROVENANCE

Document, monitor, and maintain valid provenance of [Assignment: organization-defined systems, system components, and associated data].

Supplemental Guidance: Every system and system component has a point of origin and may be changed throughout its existence. Provenance is the chronology of the origin, development, ownership, location, and changes to a system or system component and associated data. It may also include personnel and processes used to interact with or make modifications to the system, component, or associated data. Organizations consider developing procedures for allocating responsibilities for the creation, maintenance, and monitoring of provenance for systems and components; transferring provenance documentation and responsibility between organizations; and preventing and monitoring for unauthorized changes to the provenance records. Organizations consider developing methods to document, monitor, and maintain valid provenance baselines for systems, system components, and related data. Such actions help track, assess, and document changes to the provenance, including changes in supply chain elements or configuration, and ensure non-repudiation of provenance information and the provenance change records.

Related Controls: RA-9.

References: FIPS Publications 140-2, 180-4, 186-4, 202; NIST Special Publications 800-30, 800-

161; NIST Interagency Report 7622.

SA-13 TRUSTWORTHINESS

[Withdrawn: Incorporated into SA-8].

SA-14 CRITICALITY ANALYSIS

[Withdrawn: Incorporated into RA-9].

SA-15 DEVELOPMENT PROCESS, STANDARDS, AND TOOLS

Control:

1. Require the developer of the system, system component, or system service to follow a documented development process that:
   1. Explicitly addresses security requirements;
   2. Identifies the standards and tools used in the development process;
   3. Documents the specific tool options and tool configurations used in the development process; and
   4. Documents, manages, and ensures the integrity of changes to the process and/or tools used in development; and
2. Review the development process, standards, tools, tool options, and tool configurations [Assignment: organization-defined frequency] to determine if the process, standards, tools, tool options and tool configurations selected and employed can satisfy [Assignment: organization-defined security and privacy requirements].

Supplemental Guidance: Development tools include, for example, programming languages and computer-aided design 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 facilitates effective supply chain risk assessment and mitigation. Such integrity requires configuration control throughout the system development life cycle to track authorized changes and to prevent unauthorized changes.

Related Controls: MA-6, SA-3, SA-4, SA-8, SA-11, SA-12.

Control Enhancements:

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | QUALITY METRICS

Require the developer of the system, system component, or system service to:

• Define quality metrics at the beginning of the development process; and
• Provide evidence of meeting the quality metrics [Selection (one or more): [Assignment: organization-defined frequency]; [Assignment: organization-defined program review milestones]; upon delivery].

Supplemental Guidance: Organizations use quality metrics to establish acceptable levels of system quality. Metrics may include quality gates which are collections of completion criteria or sufficiency standards representing the satisfactory execution of specific phases of the system development project. A quality gate, for example, may require the elimination of all compiler warnings or a determination that such warnings have no impact on the effectiveness of required security or privacy 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 system with a Common Vulnerability Scoring System (CVSS) severity of Medium or High.

Related Controls: None.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | SECURITY TRACKING TOOLS

Require the developer of the system, system component, or system service to select and employ a security tracking tool for use during the development process.

Supplemental Guidance: 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.

 

Related Controls: SA-11.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | CRITICALITY ANALYSIS

Require the developer of the system, system component, or system service to perform a criticality analysis at [Assignment: organization-defined breadth/depth] and at [Assignment: organization- defined decision points in the system development life cycle].

Supplemental Guidance: This control enhancement provides developer input to the criticality analysis performed by organizations. Developer input is essential to such analysis because organizations may not have access to detailed design documentation for system components that are developed as commercial off-the-shelf products. Such design documentation includes, for example, functional specifications, high-level designs, low-level designs, and source code and hardware schematics. Criticality analysis is important for organizational systems that are designated as high value assets. Such assets can be moderate- or high-impact systems due to the potential for serious, severe, or catastrophic adverse impacts on organizational missions or business functions.

Related Controls: RA-9.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | THREAT MODELING AND VULNERABILITY ANALYSIS

[Withdrawn: Incorporated into SA-11(2)].

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | ATTACK SURFACE REDUCTION

Require the developer of the system, system component, or system service to reduce attack surfaces to [Assignment: organization-defined thresholds].

Supplemental Guidance: Attack surface reduction is closely aligned with developer threat and vulnerability analyses and 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 systems, system components, and system services. Attack surface reduction includes, for example, employing the concept of layered defenses; applying the principles of least privilege and least functionality; deprecating unsafe functions; applying secure software development practices including, for example, reducing the amount of code executing and reducing entry points available to unauthorized users; and eliminating application programming interfaces (APIs) that are vulnerable to attacks.

Related Controls: AC-6, CM-7, RA-3.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | CONTINUOUS IMPROVEMENT

Require the developer of the system, system component, or system service to implement an explicit process to continuously improve the development process.

Supplemental Guidance: Developers of systems, system components, and system services consider the effectiveness and efficiency of their current development processes for meeting quality objectives and for addressing the security and privacy capabilities in current threat environments.

Related Controls: None.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | AUTOMATED VULNERABILITY ANALYSIS

Require the developer of the system, system component, or system service to:

• Perform an automated vulnerability analysis using [Assignment: organization-defined tools];
• Determine the exploitation potential for discovered vulnerabilities;
• Determine potential risk mitigations for delivered vulnerabilities; and
• Deliver the outputs of the tools and results of the analysis to [Assignment: organization- defined personnel or roles].

Supplemental Guidance: None.

Related Controls: RA-5, SA-11.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | REUSE OF THREAT AND VULNERABILITY INFORMATION

Require the developer of the system, system component, or system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.

 

Supplemental Guidance: Analysis of vulnerabilities found in similar software applications can inform potential design and implementation issues for systems under development. Similar systems or system components may exist within developer organizations. Vulnerability information is available from a variety of public and private sector sources including, for example, the NIST National Vulnerability Database.

Related Controls: None.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | USE OF LIVE DATA

[Withdrawn: Incorporated into SA-3(2)].

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | INCIDENT RESPONSE PLAN

Require the developer of the system, system component, or system service to provide, implement, and test an incident response plan.

Supplemental Guidance: The incident response plan provided by developers of systems, system components, and system services may be incorporated into organizational incident response plans. This information provides the type of incident response information that is not readily available to organizations. Such information may be extremely helpful, for example, when organizations respond to vulnerabilities in commercial off-the-shelf products.

Related Controls: IR-8.

• DEVELOPMENT PROCESS, STANDARDS, AND TOOLS | ARCHIVE SYSTEM OR COMPONENT

Require the developer of the system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security and privacy review.

Supplemental Guidance: Archiving system or system components requires the developer to retain key development artifacts including, for example, hardware specifications, source code, object code, and any relevant documentation from the development process that can provide a readily available configuration baseline for system and component upgrades or modifications.

Related Controls: None.

References: None.

 

SA-16 DEVELOPER-PROVIDED TRAINING

Control: Require the developer of the system, system component, or system service to provide [Assignment: organization-defined training] on the correct use and operation of the implemented security and privacy functions, controls, and/or mechanisms.

Supplemental Guidance: This control applies to external and internal (in-house) developers. Training of personnel is an essential element to ensure the effectiveness of the security and privacy controls implemented within organizational systems. Training options include, for example, web-based and computer-based training; classroom-style training; and hands-on training. Organizations can also request 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 and privacy functions, controls, and mechanisms.

Related Controls: AT-2, AT-3, PE-3, SA-4, SA-5.

Control Enhancements: None.

References: None.

 

SA-17 DEVELOPER SECURITY ARCHITECTURE AND DESIGN

Control: Require the developer of the system, system component, or system service to produce a design specification and security architecture that:

1. Is 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;

 

1. Accurately and completely describes the required security functionality, and the allocation of security controls among physical and logical components; and
2. Expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to

Supplemental Guidance: This 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 ensure that organizations develop a security architecture and that the architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important when organizations outsource the development of systems, system components, or system services to external entities, and when there is a requirement to demonstrate consistency with the enterprise architecture and security architecture of the organization. ISO/IEC 15408 provides additional information on security architecture and design including, for example, formal policy models, security-relevant components, formal and informal correspondence, conceptually simple design, and structuring for least privilege and testing.

Related Controls: PL-2, PL-8, PM-7, SA-3, SA-4, SA-8.

Control Enhancements:

• DEVELOPER SECURITY ARCHITECTURE AND DESIGN | FORMAL POLICY MODEL

Require the developer of the system, system component, or system service to:

• Produce, as an integral part of the development process, a formal policy model describing the [Assignment: organization-defined elements of organizational security policy] to be enforced; and
• Prove that the formal policy model is internally consistent and sufficient to enforce the defined elements of the organizational security policy when

Supplemental Guidance: Formal models describe specific behaviors or security policies using formal languages, thus enabling the correctness of those behaviors and policies to be formally proven. Not all components of systems can be modeled. Generally, formal specifications are scoped to the specific behaviors or policies of interest, for example, nondiscretionary access control policies. Organizations choose the formal modeling language and approach based on the nature of the behaviors and policies to be described and the available tools. Examples of formal modeling tools include Gypsy and Zed.

Related Controls: None.

• DEVELOPER SECURITY ARCHITECTURE AND DESIGN | SECURITY-RELEVANT COMPONENTS

Require the developer of the system, system component, or system service to:

• Define security-relevant hardware, software, and firmware; and
• Provide a rationale that the definition for security-relevant hardware, software, and firmware is complete.

Supplemental Guidance: The security-relevant hardware, software, and firmware represent the portion of the system, component, or service that must be trusted to perform correctly to maintain required security properties.

Related Controls: SA-5.

• DEVELOPER SECURITY ARCHITECTURE AND DESIGN | FORMAL CORRESPONDENCE

Require the developer of the system, system component, or system service to:

• Produce, 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;
• Show 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;
• Show via informal demonstration, that the formal top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
• Show that the formal top-level specification is an accurate description of the implemented security-relevant hardware, software, and firmware; and

 

• Describe 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

Supplemental Guidance: Correspondence 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 that are 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 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 and informal methods may be needed to show such consistency. Consistency between the formal top-level specification and the actual 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 and output.

Related Controls: SA-5.

• DEVELOPER SECURITY ARCHITECTURE AND DESIGN | INFORMAL CORRESPONDENCE

Require the developer of the system, system component, or system service to:

• Produce, 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;
• Show via [Selection: informal demonstration, convincing argument with formal methods as feasible] that the descriptive top-level specification is consistent with the formal policy model;
• Show via informal demonstration, that the descriptive top-level specification completely covers the interfaces to security-relevant hardware, software, and firmware;
• Show that the descriptive top-level specification is an accurate description of the interfaces to security-relevant hardware, software, and firmware; and
• Describe 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

Supplemental Guidance: Correspondence 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 and 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 and output.

Related Controls: SA-5.

• DEVELOPER SECURITY ARCHITECTURE AND DESIGN | CONCEPTUALLY SIMPLE DESIGN

Require the developer of the system, system component, or system service to:

• Design and structure the security-relevant hardware, software, and firmware to use a complete, conceptually simple protection mechanism with precisely defined semantics; and
• Internally structure the security-relevant hardware, software, and firmware with specific regard for this

Supplemental Guidance: None.

Related Controls: SC-3.

• DEVELOPER SECURITY ARCHITECTURE AND DESIGN | STRUCTURE FOR TESTING

Require the developer of the system, system component, or system service to structure security- relevant hardware, software, and firmware to facilitate testing.

Supplemental Guidance: None.

 

Related Controls: SA-5, SA-11.

• DEVELOPER SECURITY ARCHITECTURE AND DESIGN | STRUCTURE FOR LEAST PRIVILEGE

Require the developer of the system, system component, or system service to structure security- relevant hardware, software, and firmware to facilitate controlling access with least privilege.

Supplemental Guidance:  None.

Related Controls:  AC-5, AC-6.

References: ISO/IEC 15408; NIST Special Publication 800-160.

 

SA-18 TAMPER RESISTANCE AND DETECTION

Control: Implement a tamper protection program for the system, system component, or system service.

Supplemental Guidance: Anti-tamper technologies, tools, and techniques provide a level of protection for systems and system components against many threats including reverse engineering, modification, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting systems and components during distribution and when in use.

Related Controls: PE-3, SA-12, SI-7.

Control Enhancements:

• TAMPER RESISTANCE AND DETECTION | MULTIPLE PHASES OF SYSTEM DEVELOPMENT LIFE CYCLE

Employ anti-tamper technologies, tools, and techniques during multiple phases in the system development life cycle including design, development, integration, operations, and maintenance.

Supplemental Guidance: Organizations 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. The customization of systems and system components can make substitutions easier to detect and therefore limit damage.

Related Controls: SA-3.

• TAMPER RESISTANCE AND DETECTION | INSPECTION OF SYSTEMS OR COMPONENTS

Inspect [Assignment: organization-defined systems or system components] [Selection (one or more): at random; at [Assignment: organization-defined frequency], upon [Assignment: organization-defined indications of need for inspection]] to detect tampering.

Supplemental Guidance: This control enhancement addresses 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 a need for inspection include, for example, when individuals return from travel to high-risk locations.

Related Controls: SI-4.

References: None.

 

SA-19 COMPONENT AUTHENTICITY

Control:

1. Develop and implement anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the system; and
2. Report counterfeit system components to [Selection (one or more): source of counterfeit component; [Assignment: organization-defined external reporting organizations]; [Assignment: organization-defined personnel or roles]].

Supplemental Guidance: Sources 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.

Related Controls: PE-3, SA-12, SI-7.

Control Enhancements:

• COMPONENT AUTHENTICITY | ANTI-COUNTERFEIT TRAINING

Train [Assignment: organization-defined personnel or roles] to detect counterfeit system components (including hardware, software, and firmware).

Supplemental Guidance: None.

Related Controls: AT-3.

• COMPONENT AUTHENTICITY | CONFIGURATION CONTROL FOR COMPONENT SERVICE AND REPAIR

Maintain configuration control over [Assignment: organization-defined system components] awaiting service or repair and serviced or repaired components awaiting return to service.

Supplemental Guidance: None.

Related Controls: CM-3.

• COMPONENT AUTHENTICITY | COMPONENT DISPOSAL

Dispose of system components using [Assignment: organization-defined techniques and methods].

Supplemental Guidance: Proper disposal of system components helps to prevent such components from entering the gray market.

Related Controls: MP-6.

• COMPONENT AUTHENTICITY | ANTI-COUNTERFEIT SCANNING

Scan for counterfeit system components [Assignment: organization-defined frequency].

Supplemental Guidance: None.

Related Controls: RA-5.

References: None.

 

SA-20 CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS

Control: Re-implement or custom develops [Assignment: organization-defined critical system components].

Supplemental Guidance: Organizations determine that certain 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 system components, additional safeguards can be employed. These include, for example, enhanced auditing; restrictions on source code and system utility access; and protection from deletion of system and application files.

Related Controls: CP-2, RA-9, SA-8.

Control Enhancements: None.

References: None.

 

SA-21 DEVELOPER SCREENING

Control: Require that the developer of [Assignment: organization-defined system, system component, or system service]:

 

1. Have appropriate access authorizations as determined by assigned [Assignment: organization- defined official government duties];
2. Satisfy [Assignment: organization-defined additional personnel screening criteria]; and
3. Provide information that the access authorizations and screening criteria specified in a. and b. are

Supplemental Guidance: This control is directed at external developers. Because the system, system component, or system service may be employed in critical activities essential to the national 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 system/component/service once deployed.

Examples of authorization and personnel screening criteria include clearances, 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 and reliability of the systems, components, or services being developed. Satisfying required access authorizations and personnel screening criteria includes, for example, providing a list of all individuals who are authorized to perform development activities on the selected system, system component, or system service so that organizations can validate that the developer has satisfied the authorization and screening requirements.

Related Controls: PS-2, PS-3, PS-6, PS-7, SA-4.

Control Enhancements:

(1) DEVELOPER SCREENING | VALIDATION OF SCREENING

[Withdrawn: Incorporated into SA-21].

References: None.

 

SA-22 UNSUPPORTED SYSTEM COMPONENTS

Control: Replace system components when support for the components is no longer available from the developer, vendor, or manufacturer.

Supplemental Guidance: Support for system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components, for example, when vendors no longer provide critical software patches or product updates, provide an opportunity for adversaries to exploit weaknesses in the installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission or business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.

Related Controls: PL-2, SA-3.

Control Enhancements:

(1) UNSUPPORTED SYSTEM COMPONENTS | ALTERNATIVE SOURCES FOR CONTINUED SUPPORT

Provide [Selection (one or more): in-house support; [Assignment: organization-defined support from external providers]] for unsupported system components.

Supplemental Guidance: This control enhancement addresses the need to provide continued support for system components that are no longer supported by the original manufacturers, developers, or vendors when such components remain essential to organizational mission and business operations. Organizations can establish in-house support, for example, by developing customized patches for critical software components or alternatively, obtain 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.

Related Controls: None.

References: None.

DEVELOPMENT OF SYSTEMS, COMPONENTS, AND SERVICES

With a renewed nation-wide emphasis on the use of trustworthy systems and supply chain security, it is essential that organizations can express their security and privacy requirements with clarity and specificity to engage industry and obtain the systems, components, and services necessary for mission/business success. Accordingly, this publication provides a comprehensive set of controls in the System and Services Acquisition (SA) family that address requirements for the development of systems, components, and system services. To that end, many of the controls in the SA family are directed at developers of those systems, components, and services. It is important for organizations to recognize that the scope of the controls in that family includes system, component, and service development and the developers associated with such development whether the development is conducted either internally or externally by industry partners (i.e., manufacturers, vendors, integrators) through the contracting and acquisition processes. The affected controls in the control catalog include SA-8, SA-10, SA-11, SA-15, SA-16, SA-17, SA-20, and SA-21.