800-53 (Rev. 4) Risk Management Framework - RMF Security Controls

Information security controls protect the confidentiality, integrity and/or availability of information (the so-called CIA Triad). Again, some would add further categories such as non-repudiation and accountability, depending on how narrowly or broadly the CIA Triad is defined. Individual controls are often designed to act together to increase effective protection. Systems of controls can be referred to as frameworks or standards. Frameworks can enable an organization to manage security controls across different types of assets with consistency. For example, a framework can help an organization manage controls over access regardless of the type of computer operating system. This also enables an organization to assess overall risk. Risk-aware organizations may choose proactively to specify, design, implement, operate and maintain their security controls, usually by assessing the risks and implementing a comprehensive security management framework such as ISO27001:2013, the Information Security Forum's Standard of Good Practice for Information Security, or NIST SP 800-53.
ACCESS CONTROL POLICY AND PROCEDURES
RMF Control
AC-1
Subject Area
ACCESS CONTROL
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
AC-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
AC-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
AC-1.1 - CCI-002107
The organization defines the personnel or roles to be recipients of the access control policy necessary to facilitate the implementation of the access control policy and associated access controls.
AC-1.2 - CCI-002108
The organization defines the personnel or roles to be recipients of the procedures necessary to facilitate the implementation of the access control policy and associated access controls.
AC-1.3 - CCI-000001
The organization develops and documents an access control policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
AC-1.4 - CCI-000002
The organization disseminates the access control policy to organization-defined personnel or roles.
AC-1.5 - CCI-000004
The organization develops and documents procedures to facilitate the implementation of the access control policy and associated access controls.
AC-1.6 - CCI-000005
The organization disseminates the procedures to facilitate access control policy and associated access controls to the organization-defined personnel or roles.
AC-1.8 - CCI-001545
The organization defines a frequency for reviewing and updating the access control policy.
AC-1.7 - CCI-000003
The organization reviews and updates the access control policy in accordance with organization-defined frequency.
AC-1.10 - CCI-001546
The organization defines a frequency for reviewing and updating the access control procedures.
AC-1.9 - CCI-000006
The organization reviews and updates the access control procedures in accordance with organization-defined frequency.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
ACCOUNT MANAGEMENT
RMF Control
AC-2
Subject Area
ACCESS CONTROL
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
AC-2a.
Identifies and selects the following types of information system accounts to support organizational missions/business functions: [Assignment: organization-defined information system account types];
AC-2b.
Assigns account managers for information system accounts;
AC-2c.
Establishes conditions for group and role membership;
AC-2d.
Specifies authorized users of the information system, group and role membership, and access authorizations (i.e., privileges) and other attributes (as required) for each account;
AC-2e.
Requires approvals by [Assignment: organization-defined personnel or roles] for requests to create information system accounts;
AC-2f.
Creates, enables, modifies, disables, and removes information system accounts in accordance with [Assignment: organization-defined procedures or conditions];
AC-2g.
Monitors the use of information system accounts;
AC-2h.
Notifies account managers:
AC-2i.
Authorizes access to the information system based on:
AC-2j.
Reviews accounts for compliance with account management requirements [Assignment: organization-defined frequency]; and
AC-2k.
Establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
Supplemental Guidance
Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.
Assessment Procedures
AC-2.1 - CCI-002110
The organization defines the information system account types that support the organizational missions/business functions.
AC-2.2 - CCI-002111
The organization identifies and selects the organization-defined information system account types of information system accounts which support organizational missions/business functions.
AC-2.3 - CCI-002112
The organization assigns account managers for information system accounts.
AC-2.4 - CCI-000008
The organization establishes conditions for group membership.
AC-2.5 - CCI-002113
The organization establishes conditions for role membership.
AC-2.6 - CCI-002115
The organization specifies authorized users of the information system.
AC-2.7 - CCI-002116
The organization specifies authorized group membership on the information system.
AC-2.8 - CCI-002117
The organization specifies authorized role membership on the information system.
AC-2.9 - CCI-002118
The organization specifies access authorizations (i.e., privileges) for each account on the information system.
AC-2.10 - CCI-002119
The organization specifies other attributes for each account on the information system.
AC-2.12 - CCI-002120
The organization defines the personnel or roles authorized to approve the creation of information system accounts.
AC-2.11 - CCI-000010
The organization requires approvals by organization-defined personnel or roles for requests to create information system accounts.
AC-2.14 - CCI-002121
The organization defines the procedures or conditions to be employed when creating, enabling, modifying, disabling, and removing information system accounts.
AC-2.13 - CCI-000011
The organization creates, enables, modifies, disables, and removes information system accounts in accordance with organization-defined procedures or conditions.
AC-2.15 - CCI-002122
The organization monitors the use of information system accounts.
AC-2.16 - CCI-002123
The organization notifies account managers when accounts are no longer required.
AC-2.17 - CCI-002124
The organization notifies account managers when users are terminated or transferred.
AC-2.18 - CCI-002125
The organization notifies account managers when individual information system usage or need-to-know changes.
AC-2.19 - CCI-002126
The organization authorizes access to the information system based on a valid access authorization.
AC-2.20 - CCI-002127
The organization authorizes access to the information system based on intended system usage.
AC-2.21 - CCI-002128
The organization authorizes access to the information system based on other attributes as required by the organization or associated missions/business functions.
AC-2.22 - CCI-000012
The organization reviews information system accounts for compliance with account management requirements per organization-defined frequency.
AC-2.23 - CCI-001547
The organization defines the frequency on which it will review information system accounts for compliance with account management requirements.
AC-2.24 - CCI-002129
The organization establishes a process for reissuing shared/group account credentials (if deployed) when individuals are removed from the group.
Related Controls
  1. AC-3 - Access Enforcement
  2. AC-4 - Information Flow Enforcement
  3. AC-5 - Separation Of Duties
  4. AC-6 - Least Privilege
  5. AC-10 - Concurrent Session Control
  6. AC-17 - Remote Access
  7. AC-19 - Access Control For Mobile Devices
  8. AC-20 - Use Of External Information Systems
  9. AU-9 - Protection Of Audit Information
  10. IA-2 - Identification And Authentication (Organizational Users)
  11. IA-4 - Identifier Management
  12. IA-5 - Authenticator Management
  13. IA-8 - Identification And Authentication (Non-Organizational Users)
  14. CM-5 - Access Restrictions For Change
  15. CM-6 - Configuration Settings
  16. CM-11 - User-Installed Software
  17. MA-3 - Maintenance Tools
  18. MA-4 - Nonlocal Maintenance
  19. MA-5 - Maintenance Personnel
  20. PL-4 - Rules Of Behavior
  21. SC-13 - Cryptographic Protection
Enhancements
AC-2 (1) - Automated System Account Management
The organization employs automated mechanisms to support the management of information system accounts.
AC-2 (2) - Removal Of Temporary / Emergency Accounts
The information system automatically [Selection: removes; disables] temporary and emergency accounts after [Assignment: organization-defined time period for each type of account].
AC-2 (3) - Disable Inactive Accounts
The information system automatically disables inactive accounts after [Assignment: organization-defined time period].
AC-2 (4) - Automated Audit Actions
The information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies [Assignment: organization-defined personnel or roles].
AC-2 (5) - Inactivity Logout
The organization requires that users log out when [Assignment: organization-defined time-period of expected inactivity or description of when to log out].
AC-2 (6) - Dynamic Privilege Management
The information system implements the following dynamic privilege management capabilities: [Assignment: organization-defined list of dynamic privilege management capabilities].
AC-2 (7) - Role-Based Schemes
The organization:
AC-2 (8) - Dynamic Account Creation
The information system creates [Assignment: organization-defined information system accounts] dynamically.
AC-2 (9) - Restrictions On Use Of Shared / Group Accounts
The organization only permits the use of shared/group accounts that meet [Assignment: organization-defined conditions for establishing shared/group accounts].
AC-2 (10) - Shared / Group Account Credential Termination
The information system terminates shared/group account credentials when members leave the group.
AC-2 (11) - Usage Conditions
The information system enforces [Assignment: organization-defined circumstances and/or usage conditions] for [Assignment: organization-defined information system accounts].
AC-2 (12) - Account Monitoring / Atypical Usage
The organization:
AC-2 (13) - Disable Accounts For High-Risk Individuals
The organization disables accounts of users posing a significant risk within [Assignment: organization-defined time period] of discovery of the risk.
ACCESS ENFORCEMENT
RMF Control
AC-3
Subject Area
ACCESS CONTROL
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.
Supplemental Guidance
Access control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.
Assessment Procedures
AC-3.1 - CCI-000213
The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies.
Related Controls
  1. AC-2 - Account Management
  2. AC-4 - Information Flow Enforcement
  3. AC-5 - Separation Of Duties
  4. AC-6 - Least Privilege
  5. AC-16 - Security Attributes
  6. AC-17 - Remote Access
  7. AC-18 - Wireless Access
  8. AC-19 - Access Control For Mobile Devices
  9. AC-20 - Use Of External Information Systems
  10. AC-21 - Information Sharing
  11. AC-22 - Publicly Accessible Content
  12. AU-9 - Protection Of Audit Information
  13. CM-5 - Access Restrictions For Change
  14. CM-6 - Configuration Settings
  15. CM-11 - User-Installed Software
  16. MA-3 - Maintenance Tools
  17. MA-4 - Nonlocal Maintenance
  18. MA-5 - Maintenance Personnel
  19. PE-3 - Physical Access Control
Enhancements
AC-3 (1) - Restricted Access To Privileged Functions
[Withdrawn: Incorporated into AC-6].
AC-3 (2) - Dual Authorization
The information system enforces dual authorization for [Assignment: organization-defined privileged commands and/or other organization-defined actions].
AC-3 (3) - Mandatory Access Control
The information system enforces [Assignment: organization-defined mandatory access control policy] over all subjects and objects where the policy:
AC-3 (4) - Discretionary Access Control
The information system enforces [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:
AC-3 (5) - Security-Relevant Information
The information system prevents access to [Assignment: organization-defined security-relevant information] except during secure, non-operable system states.
AC-3 (6) - Protection Of User And System Information
[Withdrawn: Incorporated into MP-4 and SC-28].
AC-3 (7) - Role-Based Access Control
The information system enforces a role-based access control policy over defined subjects and objects and controls access based upon [Assignment: organization-defined roles and users authorized to assume such roles].
AC-3 (8) - Revocation Of Access Authorizations
The information system enforces 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].
AC-3 (9) - Controlled Release
The information system does not release information outside of the established system boundary unless:
AC-3 (10) - Audited Override Of Access Control Mechanisms
The organization employs an audited override of automated access control mechanisms under [Assignment: organization-defined conditions].
INFORMATION FLOW ENFORCEMENT
RMF Control
AC-4
Subject Area
ACCESS CONTROL
Baseline Areas
MODERATE, HIGH
Requirements
The information system enforces 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 is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.
Assessment Procedures
AC-4.1 - CCI-001368
The information system enforces approved authorizations for controlling the flow of information within the system based on organization-defined information flow control policies.
AC-4.2 - CCI-001414
The information system enforces approved authorizations for controlling the flow of information between interconnected systems based on organization-defined information flow control policies.
AC-4.3 - CCI-001548
The organization defines the information flow control policies for controlling the flow of information within the system.
AC-4.4 - CCI-001549
The organization defines the information flow control policies for controlling the flow of information between interconnected systems.
AC-4.5 - CCI-001550
The organization defines approved authorizations for controlling the flow of information within the system.
AC-4.6 - CCI-001551
The organization defines approved authorizations for controlling the flow of information between interconnected systems.
Related Controls
  1. AC-3 - Access Enforcement
  2. AC-17 - Remote Access
  3. AC-19 - Access Control For Mobile Devices
  4. AC-21 - Information Sharing
  5. CM-6 - Configuration Settings
  6. CM-7 - Least Functionality
  7. SA-8 - Security Engineering Principles
  8. SC-2 - Application Partitioning
  9. SC-5 - Denial Of Service Protection
  10. SC-7 - Boundary Protection
  11. SC-18 - Mobile Code
Enhancements
AC-4 (1) - Object Security Attributes
The information system uses [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.
AC-4 (2) - Processing Domains
The information system uses protected processing domains to enforce [Assignment: organization-defined information flow control policies] as a basis for flow control decisions.
AC-4 (3) - Dynamic Information Flow Control
The information system enforces dynamic information flow control based on [Assignment: organization-defined policies].
AC-4 (4) - Content Check Encrypted Information
The information system prevents encrypted information from bypassing content-checking 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]].
AC-4 (5) - Embedded Data Types
The information system enforces [Assignment: organization-defined limitations] on embedding data types within other data types.
AC-4 (6) - Metadata
The information system enforces information flow control based on [Assignment: organization-defined metadata].
AC-4 (7) - One-Way Flow Mechanisms
The information system enforces [Assignment: organization-defined one-way information flows] using hardware mechanisms.
AC-4 (8) - Security Policy Filters
The information system enforces information flow control using [Assignment: organization-defined security policy filters] as a basis for flow control decisions for [Assignment: organization-defined information flows].
AC-4 (9) - Human Reviews
The information system enforces the use of human reviews for [Assignment: organization-defined information flows] under the following conditions: [Assignment: organization-defined conditions].
AC-4 (10) - Enable / Disable Security Policy Filters
The information system provides the capability for privileged administrators to enable/disable [Assignment: organization-defined security policy filters] under the following conditions: [Assignment: organization-defined conditions].
AC-4 (11) - Configuration Of Security Policy Filters
The information system provides the capability for privileged administrators to configure [Assignment: organization-defined security policy filters] to support different security policies.
AC-4 (12) - Data Type Identifiers
The information system, when transferring information between different security domains, uses [Assignment: organization-defined data type identifiers] to validate data essential for information flow decisions.
AC-4 (13) - Decomposition Into Policy-Relevant Subcomponents
The information system, when transferring information between different security domains, decomposes information into [Assignment: organization-defined policy-relevant subcomponents] for submission to policy enforcement mechanisms.
AC-4 (14) - Security Policy Filter Constraints
The information system, when transferring information between different security domains, implements [Assignment: organization-defined security policy filters] requiring fully enumerated formats that restrict data structure and content.
AC-4 (15) - Detection Of Unsanctioned Information
The information system, when transferring information between different security domains, examines the information for the presence of [Assignment: organized-defined unsanctioned information] and prohibits the transfer of such information in accordance with the [Assignment: organization-defined security policy].
AC-4 (16) - Information Transfers On Interconnected Systems
[Withdrawn: Incorporated into AC-4].
AC-4 (17) - Domain Authentication
The information system uniquely identifies and authenticates source and destination points by [Selection (one or more): organization, system, application, individual] for information transfer.
AC-4 (18) - Security Attribute Binding
The information system binds security attributes to information using [Assignment: organization-defined binding techniques] to facilitate information flow policy enforcement.
AC-4 (19) - Validation Of Metadata
The information system, when transferring information between different security domains, applies the same security policy filtering to metadata as it applies to data payloads.
AC-4 (20) - Approved Solutions
The organization employs [Assignment: organization-defined solutions in approved configurations] to control the flow of [Assignment: organization-defined information] across security domains.
AC-4 (21) - Physical / Logical Separation Of Information Flows
The information system separates information flows logically or physically using [Assignment: organization-defined mechanisms and/or techniques] to accomplish [Assignment: organization-defined required separations by types of information].
AC-4 (22) - Access Only
The information system provides access from a single device to computing platforms, applications, or data residing on multiple different security domains, while preventing any information flow between the different security domains.
SEPARATION OF DUTIES
RMF Control
AC-5
Subject Area
ACCESS CONTROL
Baseline Areas
MODERATE, HIGH
Requirements
The organization:
AC-5a.
Separates [Assignment: organization-defined duties of individuals];
AC-5b.
Documents separation of duties of individuals; and
AC-5c.
Defines information system access authorizations to support separation of duties.
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: (i) dividing mission functions and information system support functions among different individuals and/or roles; (ii) conducting information system support functions with different individuals (e.g., system management, programming, configuration management, quality assurance and testing, and network security); and (iii) ensuring security personnel administering access control functions do not also administer audit functions.
Assessment Procedures
AC-5.2 - CCI-002219
The organization defines the duties of individuals that are to be separated.
AC-5.1 - CCI-000036
The organization separates organization-defined duties of individuals.
AC-5.3 - CCI-001380
The organization documents separation of duties of individuals.
AC-5.4 - CCI-002220
The organization defines information system access authorizations to support separation of duties.
Related Controls
  1. AC-3 - Access Enforcement
  2. AC-6 - Least Privilege
  3. PE-3 - Physical Access Control
  4. PE-4 - Access Control For Transmission Medium
  5. PS-2 - Position Risk Designation
Enhancements
LEAST PRIVILEGE
RMF Control
AC-6
Subject Area
ACCESS CONTROL
Baseline Areas
MODERATE, HIGH
Requirements
The organization employs the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.
Supplemental Guidance
Organizations employ least privilege for specific duties and information systems. The principle of least privilege is also applied to information system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions/business functions. Organizations consider the creation of additional processes, roles, and information system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational information systems.
Assessment Procedures
AC-6.1 - CCI-000225
The organization employs the concept of least privilege, allowing only authorized accesses for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions.
Related Controls
  1. AC-2 - Account Management
  2. AC-3 - Access Enforcement
  3. AC-5 - Separation Of Duties
  4. CM-6 - Configuration Settings
  5. CM-7 - Least Functionality
  6. PL-2 - System Security Plan
Enhancements
AC-6 (1) - Authorize Access To Security Functions
The organization explicitly authorizes access to [Assignment: organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information].
AC-6 (2) - Non-Privileged Access For Nonsecurity Functions
The organization requires that users of information 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.
AC-6 (3) - Network Access To Privileged Commands
The organization authorizes network access to [Assignment: organization-defined privileged commands] only for [Assignment: organization-defined compelling operational needs] and documents the rationale for such access in the security plan for the information system.
AC-6 (4) - Separate Processing Domains
The information system provides separate processing domains to enable finer-grained allocation of user privileges.
AC-6 (5) - Privileged Accounts
The organization restricts privileged accounts on the information system to [Assignment: organization-defined personnel or roles].
AC-6 (6) - Privileged Access By Non-Organizational Users
The organization prohibits privileged access to the information system by non-organizational users.
AC-6 (7) - Review Of User Privileges
The organization:
AC-6 (8) - Privilege Levels For Code Execution
The information system prevents [Assignment: organization-defined software] from executing at higher privilege levels than users executing the software.
AC-6 (9) - Auditing Use Of Privileged Functions
The information system audits the execution of privileged functions.
AC-6 (10) - Prohibit Non-Privileged Users From Executing Privileged Functions
The information system prevents non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures.
UNSUCCESSFUL LOGON ATTEMPTS
RMF Control
AC-7
Subject Area
ACCESS CONTROL
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The information system:
AC-7a.
Enforces a limit of [Assignment: organization-defined number] consecutive invalid logon attempts by a user during a [Assignment: organization-defined time period]; and
AC-7b.
Automatically [Selection: locks the account/node for an [Assignment: organization-defined time period]; locks the account/node until released by an administrator; delays next logon prompt according to [Assignment: organization-defined delay algorithm]] when the maximum number of unsuccessful attempts is exceeded.
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 information systems are usually temporary and automatically release after a predetermined time period established by organizations. If a delay algorithm is selected, organizations may choose to employ different algorithms for different information system components based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.
Assessment Procedures
AC-7.1 - CCI-000043
The organization defines the maximum number of consecutive invalid logon attempts to the information system by a user during an organization-defined time period.
AC-7.2 - CCI-000044
The information system enforces the organization-defined limit of consecutive invalid logon attempts by a user during the organization-defined time period.
AC-7.3 - CCI-001423
The organization defines the time period in which the organization-defined maximum number of consecutive invalid logon attempts occur.
AC-7.4 - CCI-002236
The organization defines the time period the information system will automatically lock the account or node when the maximum number of unsuccessful attempts is exceeded.
AC-7.5 - CCI-002237
The organization defines the delay algorithm to be employed by the information system to delay the next login prompt when the maximum number of unsuccessful attempts is exceeded.
AC-7.6 - CCI-002238
The information system automatically locks the account or node for either an organization-defined time period, until the locked account or node is released by an administrator, or delays the next login prompt according to the organization-defined delay algorithm when the maximum number of unsuccessful attempts is exceeded.
Related Controls
  1. AC-2 - Account Management
  2. AC-9 - Previous Logon (Access) Notification
  3. AC-14 - Permitted Actions Without Identification Or Authentication
  4. IA-5 - Authenticator Management
Enhancements
AC-7 (1) - Automatic Account Lock
[Withdrawn: Incorporated into AC-7].
AC-7 (2) - Purge / Wipe Mobile Device
The information system purges/wipes information from [Assignment: organization-defined mobile devices] based on [Assignment: organization-defined purging/wiping requirements/techniques] after [Assignment: organization-defined number] consecutive, unsuccessful device logon attempts.
SYSTEM USE NOTIFICATION
RMF Control
AC-8
Subject Area
ACCESS CONTROL
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The information system:
AC-8a.
Displays to users [Assignment: organization-defined system use notification message or banner] before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance and states that:
AC-8b.
Retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access the information system; and
AC-8c.
For publicly accessible systems:
Supplemental Guidance
System use notifications can be implemented using messages or warning banners displayed before individuals log in to information systems. System use notifications are used only for access via logon interfaces with human users and are not required when such human interfaces do not exist. Organizations consider system use notification messages/banners displayed in multiple languages based on specific organizational needs and the demographics of information system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.
Assessment Procedures
AC-8.2 - CCI-002247
The organization defines the use notification message or banner the information system displays to users before granting access to the system.
AC-8.1 - CCI-000048
The information system displays an organization-defined system use notification message or banner before granting access to the system that provides privacy and security notices consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
AC-8.3 - CCI-002243
The organization-defined information system use notification message or banner is to state that users are accessing a U.S. Government information system.
AC-8.4 - CCI-002244
The organization-defined information system use notification message or banner is to state that information system usage may be monitored, recorded, and subject to audit.
AC-8.5 - CCI-002245
The organization-defined information system use notification message or banner is to state that unauthorized use of the information system is prohibited and subject to criminal and civil penalties.
AC-8.6 - CCI-002246
The organization-defined information system use notification message or banner is to state that use of the information system indicates consent to monitoring and recording.
AC-8.7 - CCI-000050
The information system retains the notification message or banner on the screen until users acknowledge the usage conditions and take explicit actions to log on to or further access.
AC-8.8 - CCI-001384
The information system, for publicly accessible systems, displays system use information organization-defined conditions before granting further access.
AC-8.10 - CCI-001385
The information system, for publicly accessible systems, displays references, if any, to monitoring that are consistent with privacy accommodations for such systems that generally prohibit those activities.
AC-8.11 - CCI-001386
The information system for publicly accessible systems displays references, if any, to recording that are consistent with privacy accommodations for such systems that generally prohibit those activities.
AC-8.12 - CCI-001387
The information system for publicly accessible systems displays references, if any, to auditing that are consistent with privacy accommodations for such systems that generally prohibit those activities.
AC-8.13 - CCI-001388
The information system, for publicly accessible systems, includes a description of the authorized uses of the system.
AC-8.9 - CCI-002248
The organization defines the conditions of use which are to be displayed to users of the information system before granting further access.
Related Controls
Enhancements
PREVIOUS LOGON (ACCESS) NOTIFICATION
RMF Control
AC-9
Subject Area
ACCESS CONTROL
Baseline Areas
Requirements
The information system notifies 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 information systems via human user interfaces and logons to systems that occur in other types of architectures (e.g., service-oriented architectures).
Assessment Procedures
AC-9.1 - CCI-000052
The information system notifies the user, upon successful logon (access) to the system, of the date and time of the last logon (access).
Related Controls
  1. AC-7 - Unsuccessful Logon Attempts
  2. PL-4 - Rules Of Behavior
Enhancements
AC-9 (1) - Unsuccessful Logons
The information system notifies the user, upon successful logon/access, of the number of unsuccessful logon/access attempts since the last successful logon/access.
AC-9 (2) - Successful / Unsuccessful Logons
The information system notifies the user of the number of [Selection: successful logons/accesses; unsuccessful logon/access attempts; both] during [Assignment: organization-defined time period].
AC-9 (3) - Notification Of Account Changes
The information system notifies the user of changes to [Assignment: organization-defined security-related characteristics/parameters of the user�s account] during [Assignment: organization-defined time period].
AC-9 (4) - Additional Logon Information
The information system notifies 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)].
CONCURRENT SESSION CONTROL
RMF Control
AC-10
Subject Area
ACCESS CONTROL
Baseline Areas
HIGH
Requirements
The information system limits 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 information system accounts globally, by account type (e.g., privileged user, non-privileged user, domain, specific application), by account, or a combination. For example, organizations may limit the number of concurrent sessions for system administrators or individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts.
Assessment Procedures
AC-10.1 - CCI-000054
The information system limits the number of concurrent sessions for each organization-defined account and/or account type to an organization-defined number of sessions.
AC-10.2 - CCI-000055
The organization defines the maximum number of concurrent sessions to be allowed for each organization-defined account and/or account type.
AC-10.3 - CCI-002252
The organization defines the accounts for which the information system will limit the number of concurrent sessions.
Related Controls
Enhancements
SESSION LOCK
RMF Control
AC-11
Subject Area
ACCESS CONTROL
Baseline Areas
MODERATE, HIGH
Requirements
The information system:
AC-11a.
Prevents further access to the system by initiating a session lock after [Assignment: organization-defined time period] of inactivity or upon receiving a request from a user; and
AC-11b.
Retains the session lock until the user reestablishes access using established identification and authentication procedures.
Supplemental Guidance
Session locks are temporary actions taken when users stop work and move away from the immediate vicinity of information systems but do not want to log out because of the temporary nature of their absences. Session locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Session locks are not an acceptable substitute for logging out of information systems, for example, if organizations require users to log out at the end of workdays.
Assessment Procedures
AC-11.3 - CCI-000059
The organization defines the time period of inactivity after which the information system initiates a session lock.
AC-11.2 - CCI-000058
The information system provides the capability for users to directly initiate session lock mechanisms.
AC-11.4 - CCI-000056
The information system retains the session lock until the user reestablishes access using established identification and authentication procedures.
Related Controls
  1. AC-7 - Unsuccessful Logon Attempts
References
Enhancements
AC-11 (1) - Pattern-Hiding Displays
The information system conceals, via the session lock, information previously visible on the display with a publicly viewable image.
SESSION TERMINATION
RMF Control
AC-12
Subject Area
ACCESS CONTROL
Baseline Areas
MODERATE, HIGH
Requirements
The information system automatically terminates 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 information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user�s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on information system use.
Assessment Procedures
AC-12.1 - CCI-002360
The organization defines the conditions or trigger events requiring session disconnect to be employed by the information system when automatically terminating a user session.
AC-12.2 - CCI-002361
The information system automatically terminates a user session after organization-defined conditions or trigger events requiring session disconnect.
Related Controls
  1. SC-10 - Network Disconnect
  2. SC-23 - Session Authenticity
Enhancements
AC-12 (1) - User-Initiated Logouts / Message Displays
The information system:
SUPERVISION AND REVIEW - ACCESS CONTROL
RMF Control
AC-13
Subject Area
ACCESS CONTROL
Baseline Areas
Requirements
[Withdrawn: Incorporated into AC-2 and AU-6].
Supplemental Guidance
Assessment Procedures
Related Controls
Enhancements
PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
RMF Control
AC-14
Subject Area
ACCESS CONTROL
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
AC-14a.
Identifies [Assignment: organization-defined user actions] that can be performed on the information system without identification or authentication consistent with organizational missions/business functions; and
AC-14b.
Documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification or authentication.
Supplemental Guidance
This control addresses situations in which organizations determine that no identification or authentication is required in organizational information systems. Organizations may allow a limited number of user actions without identification or authentication including, for example, when individuals access public websites or other publicly accessible federal information systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational information systems without identification and authentication and thus, the values for assignment statements can be none.
Assessment Procedures
AC-14.1 - CCI-000061
The organization identifies and defines organization-defined user actions that can be performed on the information system without identification or authentication consistent with organizational missions/business functions.
AC-14.2 - CCI-000232
The organization documents and provides supporting rationale in the security plan for the information system, user actions not requiring identification and authentication.
Related Controls
  1. CP-2 - Contingency Plan
  2. IA-2 - Identification And Authentication (Organizational Users)
Enhancements
AC-14 (1) - Necessary Uses
[Withdrawn: Incorporated into AC-14].
AUTOMATED MARKING
RMF Control
AC-15
Subject Area
ACCESS CONTROL
Baseline Areas
Requirements
[Withdrawn: Incorporated into MP-3].
Supplemental Guidance
Assessment Procedures
Related Controls
Enhancements
SECURITY ATTRIBUTES
RMF Control
AC-16
Subject Area
ACCESS CONTROL
Baseline Areas
Requirements
The organization:
AC-16a.
Provides the means to associate [Assignment: organization-defined types of security attributes] having [Assignment: organization-defined security attribute values] with information in storage, in process, and/or in transmission;
AC-16b.
Ensures that the security attribute associations are made and retained with the information;
AC-16c.
Establishes the permitted [Assignment: organization-defined security attributes] for [Assignment: organization-defined information systems]; and
AC-16d.
Determines the permitted [Assignment: organization-defined values or ranges] for each of the established security attributes.
Supplemental Guidance
Information is represented internally within information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Security attributes, a form of metadata, are abstractions representing the basic properties or characteristics of active and passive entities with respect to safeguarding information. These attributes may be associated with active entities (i.e., subjects) that have the potential to send or receive information, to cause information to flow among objects, or to change the information system state. These attributes may also be associated with passive entities (i.e., objects) that contain or receive information. The association of security attributes to subjects and objects is referred to as binding and is typically inclusive of setting the attribute value and the attribute type. Security attributes when bound to data/information, enables the enforcement of information security policies for access control and information flow control, either through organizational processes or information system functions or mechanisms. The content or assigned values of security attributes can directly affect the ability of individuals to access organizational information. Organizations can define the types of attributes needed for selected information systems to support missions/business functions. There is potentially a wide range of values that can be assigned to any given security attribute. Release markings could include, for example, US only, NATO, or NOFORN (not releasable to foreign nationals). By specifying permitted attribute ranges and values, organizations can ensure that the security attribute values are meaningful and relevant. The term security labeling refers to the association of security attributes with subjects and objects represented by internal data structures within organizational information systems, to enable information system-based enforcement of information security policies. Security labels include, for example, access authorizations, data life cycle protection (i.e., encryption and data expiration), nationality, affiliation as contractor, and classification of information in accordance with legal and compliance requirements. The term security marking refers to the association of security attributes with objects in a human-readable form, to enable organizational process-based enforcement of information security policies. The AC-16 base control represents the requirement for user-based attribute association (marking). The enhancements to AC-16 represent additional requirements including information system-based attribute association (labeling). Types of attributes include, for example, classification level for objects and clearance (access authorization) level for subjects. An example of a value for both of these attribute types is Top Secret.
Assessment Procedures
AC-16.1 - CCI-002256
The organization defines security attributes having organization-defined types of security attribute values which are associated with information in storage.
AC-16.2 - CCI-002257
The organization defines security attributes having organization-defined types of security attribute values which are associated with information in process.
AC-16.3 - CCI-002258
The organization defines security attributes, having organization-defined types of security attribute values, which are associated with information in transmission.
AC-16.4 - CCI-002259
The organization defines security attribute values associated with organization-defined types of security attributes for information in storage.
AC-16.5 - CCI-002260
The organization defines security attribute values associated with organization-defined types of security attributes for information in process.
AC-16.6 - CCI-002261
The organization defines security attribute values associated with organization-defined types of security attributes for information in transmission.
AC-16.7 - CCI-002262
The organization provides the means to associate organization-defined types of security attributes having organization-defined security attribute values with information in storage.
AC-16.8 - CCI-002263
The organization provides the means to associate organization-defined types of security attributes having organization-defined security attribute values with information in process.
AC-16.9 - CCI-002264
The organization provides the means to associate organization-defined types of security attributes having organization-defined security attribute values with information in transmission.
AC-16.10 - CCI-002265
The organization ensures that the security attribute associations are made with the information.
AC-16.11 - CCI-002266
The organization ensures that the security attribute associations are retained with the information.
AC-16.12 - CCI-002267
The organization defines the security attributes that are permitted for organization-defined information systems.
AC-16.13 - CCI-002268
The organization defines the information systems for which permitted organization-defined attributes are to be established.
AC-16.14 - CCI-002269
The organization establishes the permitted organization-defined security attributes for organization-defined information systems.
AC-16.15 - CCI-002270
The organization defines the values or ranges permitted for each of the established security attributes.
AC-16.16 - CCI-002271
The organization determines the permitted organization-defined values or ranges for each of the established security attributes.
Related Controls
  1. AC-3 - Access Enforcement
  2. AC-4 - Information Flow Enforcement
  3. AC-6 - Least Privilege
  4. AC-21 - Information Sharing
  5. AU-2 - Audit Events
  6. AU-10 - Non-Repudiation
  7. SC-16 - Transmission Of Security Attributes
  8. MP-3 - Media Marking
Enhancements
AC-16 (1) - Dynamic Attribute Association
The information system dynamically associates security attributes with [Assignment: organization-defined subjects and objects] in accordance with [Assignment: organization-defined security policies] as information is created and combined.
AC-16 (2) - Attribute Value Changes By Authorized Individuals
The information system provides authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated security attributes.
AC-16 (3) - Maintenance Of Attribute Associations By Information System
The information system maintains the association and integrity of [Assignment: organization-defined security attributes] to [Assignment: organization-defined subjects and objects].
AC-16 (4) - Association Of Attributes By Authorized Individuals
The information system supports the association of [Assignment: organization-defined security attributes] with [Assignment: organization-defined subjects and objects] by authorized individuals (or processes acting on behalf of individuals).
AC-16 (5) - Attribute Displays For Output Devices
The information system displays security 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].
AC-16 (6) - Maintenance Of Attribute Association By Organization
The organization allows personnel to associate, and maintain the association of [Assignment: organization-defined security attributes] with [Assignment: organization-defined subjects and objects] in accordance with [Assignment: organization-defined security policies].
AC-16 (7) - Consistent Attribute Interpretation
The organization provides a consistent interpretation of security attributes transmitted between distributed information system components.
AC-16 (8) - Association Techniques / Technologies
The information system implements [Assignment: organization-defined techniques or technologies] with [Assignment: organization-defined level of assurance] in associating security attributes to information.
AC-16 (9) - Attribute Reassignment
The organization ensures that security attributes associated with information are reassigned only via re-grading mechanisms validated using [Assignment: organization-defined techniques or procedures].
AC-16 (10) - Attribute Configuration By Authorized Individuals
The information system provides authorized individuals the capability to define or change the type and value of security attributes available for association with subjects and objects.
REMOTE ACCESS
RMF Control
AC-17
Subject Area
ACCESS CONTROL
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
AC-17a.
Establishes and documents usage restrictions, configuration/connection requirements, and implementation guidance for each type of remote access allowed; and
AC-17b.
Authorizes remote access to the information system prior to allowing such connections.
Supplemental Guidance
Remote access is access to organizational information systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g., employing appropriate encryption techniques for confidentiality and integrity protection) may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can affect the organizational capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to information systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.
Assessment Procedures
AC-17.1 - CCI-000063
The organization defines allowed methods of remote access to the information system.
AC-17.2 - CCI-002310
The organization establishes and documents usage restrictions for each type of remote access allowed.
AC-17.3 - CCI-002311
The organization establishes and documents configuration/connection requirements for each type of remote access allowed.
AC-17.4 - CCI-002312
The organization establishes and documents implementation guidance for each type of remote access allowed.
AC-17.5 - CCI-000065
The organization authorizes remote access to the information system prior to allowing such connections.
Related Controls
  1. AC-2 - Account Management
  2. AC-3 - Access Enforcement
  3. AC-18 - Wireless Access
  4. AC-19 - Access Control For Mobile Devices
  5. AC-20 - Use Of External Information Systems
  6. CA-3 - System Interconnections
  7. CA-7 - Continuous Monitoring
  8. CM-8 - Information System Component Inventory
  9. IA-2 - Identification And Authentication (Organizational Users)
  10. IA-3 - Device Identification And Authentication
  11. IA-8 - Identification And Authentication (Non-Organizational Users)
  12. MA-4 - Nonlocal Maintenance
  13. PE-17 - Alternate Work Site
  14. PL-4 - Rules Of Behavior
  15. SC-10 - Network Disconnect
  16. SI-4 - Information System Monitoring
References
Enhancements
AC-17 (1) - Automated Monitoring / Control
The information system monitors and controls remote access methods.
AC-17 (2) - Protection Of Confidentiality / Integrity Using Encryption
The information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions.
AC-17 (3) - Managed Access Control Points
The information system routes all remote accesses through [Assignment: organization-defined number] managed network access control points.
AC-17 (4) - Privileged Commands / Access
The organization:
AC-17 (5) - Monitoring For Unauthorized Connections
[Withdrawn: Incorporated into SI-4].
AC-17 (6) - Protection Of Information
The organization ensures that users protect information about remote access mechanisms from unauthorized use and disclosure.
AC-17 (7) - Additional Protection For Security Function Access
[Withdrawn: Incorporated into AC-3 (10)].
AC-17 (8) - Disable Nonsecure Network Protocols
[Withdrawn: Incorporated into CM-7].
AC-17 (9) - Disconnect / Disable Access
The organization provides the capability to expeditiously disconnect or disable remote access to the information system within [Assignment: organization-defined time period].
WIRELESS ACCESS
RMF Control
AC-18
Subject Area
ACCESS CONTROL
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
AC-18a.
Establishes usage restrictions, configuration/connection requirements, and implementation guidance for wireless access; and
AC-18b.
Authorizes wireless access to the information system prior to allowing such connections.
Supplemental Guidance
Wireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication.
Assessment Procedures
AC-18.1 - CCI-001438
The organization establishes usage restrictions for wireless access.
AC-18.3 - CCI-002323
The organization establishes configuration/connection requirements for wireless access.
AC-18.2 - CCI-001439
The organization establishes implementation guidance for wireless access.
AC-18.4 - CCI-001441
The organization authorizes wireless access to the information system prior to allowing such connections.
Related Controls
  1. AC-2 - Account Management
  2. AC-3 - Access Enforcement
  3. AC-17 - Remote Access
  4. AC-19 - Access Control For Mobile Devices
  5. CA-3 - System Interconnections
  6. CA-7 - Continuous Monitoring
  7. CM-8 - Information System Component Inventory
  8. IA-2 - Identification And Authentication (Organizational Users)
  9. IA-3 - Device Identification And Authentication
  10. IA-8 - Identification And Authentication (Non-Organizational Users)
  11. PL-4 - Rules Of Behavior
  12. SI-4 - Information System Monitoring
References
Enhancements
AC-18 (1) - Authentication And Encryption
The information system protects wireless access to the system using authentication of [Selection (one or more): users; devices] and encryption.
AC-18 (2) - Monitoring Unauthorized Connections
[Withdrawn: Incorporated into SI-4].
AC-18 (3) - Disable Wireless Networking
The organization disables, when not intended for use, wireless networking capabilities internally embedded within information system components prior to issuance and deployment.
AC-18 (4) - Restrict Configurations By Users
The organization identifies and explicitly authorizes users allowed to independently configure wireless networking capabilities.
AC-18 (5) - Antennas / Transmission Power Levels
The organization selects radio antennas and calibrates transmission power levels to reduce the probability that usable signals can be received outside of organization-controlled boundaries.
ACCESS CONTROL FOR MOBILE DEVICES
RMF Control
AC-19
Subject Area
ACCESS CONTROL
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
AC-19a.
Establishes usage restrictions, configuration requirements, connection requirements, and implementation guidance for organization-controlled mobile devices; and
AC-19b.
Authorizes the connection of mobile devices to organizational information systems.
Supplemental Guidance
A mobile device is a computing device that: (i) has a small form factor such that it can easily be carried by a single individual; (ii) is designed to operate without a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, non-removable or removable data storage; and (iv) includes a self-contained power source. Mobile devices may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually in close proximity to the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of desktop systems, depending upon the nature and intended purpose of the device. Due to the large variety of mobile devices with different technical characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards and countermeasures for mobile devices are reflected in other security controls in the catalog allocated in the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some degree of overlap in the requirements articulated by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.
Assessment Procedures
AC-19.1 - CCI-000082
The organization establishes usage restrictions for organization controlled mobile devices.
AC-19.3 - CCI-002325
The organization establishes configuration requirements for organization controlled mobile devices.
AC-19.4 - CCI-002326
The organization establishes connection requirements for organization controlled mobile devices.
AC-19.2 - CCI-000083
The organization establishes implementation guidance for organization controlled mobile devices.
AC-19.5 - CCI-000084
The organization authorizes connection of mobile devices to organizational information systems.
Related Controls
  1. AC-3 - Access Enforcement
  2. AC-7 - Unsuccessful Logon Attempts
  3. AC-18 - Wireless Access
  4. AC-20 - Use Of External Information Systems
  5. CA-9 - Internal System Connections
  6. CM-2 - Baseline Configuration
  7. IA-2 - Identification And Authentication (Organizational Users)
  8. IA-3 - Device Identification And Authentication
  9. MP-2 - Media Access
  10. MP-4 - Media Storage
  11. MP-5 - Media Transport
  12. PL-4 - Rules Of Behavior
  13. SC-7 - Boundary Protection
  14. SC-43 - Usage Restrictions
  15. SI-3 - Malicious Code Protection
  16. SI-4 - Information System Monitoring
References
Enhancements
AC-19 (1) - Use Of Writable / Portable Storage Devices
[Withdrawn: Incorporated into MP-7].
AC-19 (2) - Use Of Personally Owned Portable Storage Devices
[Withdrawn: Incorporated into MP-7].
AC-19 (3) - Use Of Portable Storage Devices With No Identifiable Owner
[Withdrawn: Incorporated into MP-7].
AC-19 (4) - Restrictions For Classified Information
The organization:
AC-19 (5) - Full Device / Container-Based Encryption
The organization employs [Selection: full-device encryption; container encryption] to protect the confidentiality and integrity of information on [Assignment: organization-defined mobile devices].
USE OF EXTERNAL INFORMATION SYSTEMS
RMF Control
AC-20
Subject Area
ACCESS CONTROL
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
AC-20a.
Access the information system from external information systems; and
AC-20b.
Process, store, or transmit organization-controlled information using external information systems.
Supplemental Guidance
External information systems are information systems or components of information systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External information systems include, for example: (i) personally owned information systems/devices (e.g., notebook computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, train stations, convention centers, shopping malls, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of organizations. This control also addresses the use of external information systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) from organizational information systems. For some external information systems (i.e., information systems operated by other federal agencies, including organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Information systems within these organizations would not be considered external. These situations occur when, for example, there are pre-existing sharing/trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational information systems and over which organizations have the authority to impose rules of behavior with regard to system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending upon the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. This control does not apply to the use of external information systems to access public interfaces to organizational information systems (e.g., individuals accessing federal information through www.usa.gov). Organizations establish terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: types of applications that can be accessed on organizational information systems from external information systems; and the highest security category of information that can be processed, stored, or transmitted on external information systems. If terms and conditions with the owners of external information systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.
Assessment Procedures
AC-20.1 - CCI-000093
The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to access the information system from the external information systems.
AC-20.2 - CCI-002332
The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to process, store or transmit organization-controlled information using the external information systems.
Related Controls
  1. AC-3 - Access Enforcement
  2. AC-17 - Remote Access
  3. AC-19 - Access Control For Mobile Devices
  4. CA-3 - System Interconnections
  5. PL-4 - Rules Of Behavior
  6. SA-9 - External Information System Services
References
Enhancements
AC-20 (1) - Limits On Authorized Use
The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
AC-20 (2) - Portable Storage Devices
The organization [Selection: restricts; prohibits] the use of organization-controlled portable storage devices by authorized individuals on external information systems.
AC-20 (3) - Non-Organizationally Owned Systems / Components / Devices
The organization [Selection: restricts; prohibits] the use of non-organizationally owned information systems, system components, or devices to process, store, or transmit organizational information.
AC-20 (4) - Network Accessible Storage Devices
The organization prohibits the use of [Assignment: organization-defined network accessible storage devices] in external information systems.
INFORMATION SHARING
RMF Control
AC-21
Subject Area
ACCESS CONTROL
Baseline Areas
MODERATE, HIGH
Requirements
The organization:
AC-21a.
Facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for [Assignment: organization-defined information sharing circumstances where user discretion is required]; and
AC-21b.
Employs [Assignment: organization-defined automated mechanisms or manual processes] to assist users in making information sharing/collaboration decisions.
Supplemental Guidance
This control applies to information that may be restricted in some manner (e.g., privileged medical information, contract-sensitive information, proprietary information, personally identifiable information, classified information related to special access programs or compartments) based on some formal or administrative determination. Depending on the particular information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment.
Assessment Procedures
AC-21.1 - CCI-000098
The organization facilitates information sharing by enabling authorized users to determine whether access authorizations assigned to the sharing partner match the access restrictions on the information for organization-defined information circumstances where user discretion is required.
AC-21.2 - CCI-001470
The organization defines information sharing circumstances where user discretion is required.
AC-21.3 - CCI-001471
The organization employs organization-defined automated mechanisms or manual processes required to assist users in making information sharing/collaboration decisions.
AC-21.4 - CCI-001472
The organization defines the automated mechanisms or manual processes required to assist users in making information sharing/collaboration decisions.
Related Controls
  1. AC-3 - Access Enforcement
Enhancements
AC-21 (1) - Automated Decision Support
The information system enforces information-sharing decisions by authorized users based on access authorizations of sharing partners and access restrictions on information to be shared.
AC-21 (2) - Information Search And Retrieval
The information system implements information search and retrieval services that enforce [Assignment: organization-defined information sharing restrictions].
PUBLICLY ACCESSIBLE CONTENT
RMF Control
AC-22
Subject Area
ACCESS CONTROL
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
AC-22a.
Designates individuals authorized to post information onto a publicly accessible information system;
AC-22b.
Trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information;
AC-22c.
Reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included; and
AC-22d.
Reviews the content on the publicly accessible information system for nonpublic information [Assignment: organization-defined frequency] and removes such information, if discovered.
Supplemental Guidance
In accordance with federal laws, Executive Orders, directives, policies, regulations, standards, and/or guidance, the general public is not authorized access to nonpublic information (e.g., information protected under the Privacy Act and proprietary information). This control addresses information systems that are controlled by the organization and accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by organizational policy.
Assessment Procedures
AC-22.1 - CCI-001473
The organization designates individuals authorized to post information onto a publicly accessible information system.
AC-22.2 - CCI-001474
The organization trains authorized individuals to ensure that publicly accessible information does not contain nonpublic information.
AC-22.3 - CCI-001475
The organization reviews the proposed content of information prior to posting onto the publicly accessible information system to ensure that nonpublic information is not included.
AC-22.4 - CCI-001476
The organization reviews the content on the publicly accessible information system for nonpublic information on an organization-defined frequency.
AC-22.5 - CCI-001477
The organization defines a frequency for reviewing the content on the publicly accessible information system for nonpublic information.
AC-22.6 - CCI-001478
The organization removes nonpublic information from the publicly accessible information system, if discovered.
Related Controls
  1. AC-3 - Access Enforcement
  2. AC-4 - Information Flow Enforcement
  3. AT-2 - Security Awareness Training
  4. AT-3 - Role-Based Security Training
  5. AU-13 - Monitoring For Information Disclosure
Enhancements
DATA MINING PROTECTION
RMF Control
AC-23
Subject Area
ACCESS CONTROL
Baseline Areas
Requirements
The organization employs [Assignment: organization-defined data mining prevention and detection techniques] for [Assignment: organization-defined data storage objects] to adequately detect and protect against 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: (i) limiting the types of responses provided to database queries; (ii) limiting the number/frequency of database queries to increase the work factor needed to determine the contents of such databases; and (iii) notifying organizational personnel when atypical database queries or accesses occur. This control focuses on the protection of organizational information from data mining while such information resides in organizational data stores. In contrast, AU-13 focuses on monitoring for organizational information that may have been mined or otherwise obtained from data stores and is now available as open source information residing on external sites, for example, through social networking or social media websites.
Assessment Procedures
AC-23.1 - CCI-002343
The organization defines the data mining prevention techniques to be employed to adequately protect organization-defined data storage objects against data mining.
AC-23.2 - CCI-002344
The organization defines the data mining detection techniques to be employed to adequately detect data mining attempts against organization-defined data storage objects.
AC-23.3 - CCI-002345
The organization defines the data storage objects that are to be protected against data mining attempts.
AC-23.4 - CCI-002346
The organization employs organization-defined data mining prevention techniques for organization-defined data storage objects to adequately protect against data mining.
AC-23.5 - CCI-002347
The organization employs organization-defined data mining detection techniques for organization-defined data storage objects to adequately detect data mining attempts.
Related Controls
Enhancements
ACCESS CONTROL DECISIONS
RMF Control
AC-24
Subject Area
ACCESS CONTROL
Baseline Areas
Requirements
The organization establishes 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 information systems enforce access control decisions. While it is very common to have access control decisions and access enforcement implemented by the same entity, it is not required and it is not always an optimal implementation choice. For some architectures and distributed information systems, different entities may perform access control decisions and access enforcement.
Assessment Procedures
AC-24.1 - CCI-002348
The organization defines the access control decisions that are to be applied to each access request prior to access enforcement.
AC-24.2 - CCI-002349
The organization establishes procedures to ensure organization-defined access control decisions are applied to each access request prior to access enforcement.
Related Controls
Enhancements
AC-24 (1) - Transmit Access Authorization Information
The information system transmits [Assignment: organization-defined access authorization information] using [Assignment: organization-defined security safeguards] to [Assignment: organization-defined information systems] that enforce access control decisions.
AC-24 (2) - No User Or Process Identity
The information system enforces 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.
REFERENCE MONITOR
RMF Control
AC-25
Subject Area
ACCESS CONTROL
Baseline Areas
Requirements
The information system implements 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 information systems using abstractions known as data structures. Internal data structures can represent different types of entities, both active and passive. Active entities, also known as subjects, are typically associated with individuals, devices, or processes acting on behalf of individuals. Passive entities, also known as objects, are typically associated with data structures such as records, buffers, tables, files, inter-process pipes, and communications ports. Reference monitors typically enforce mandatory access control policies�a type of access control that restricts access to objects based on the identity of subjects or groups to which the subjects belong. The access controls are mandatory because subjects with certain privileges (i.e., access permissions) are restricted from passing those privileges on to any other subjects, either directly or indirectly�that is, the information system strictly enforces the access control policy based on the rule set established by the policy. The tamperproof property of the reference monitor prevents adversaries from compromising the functioning of the mechanism. The always invoked property prevents adversaries from bypassing the mechanism and hence violating the security policy. The smallness property helps to ensure the completeness in the analysis and testing of the mechanism to detect weaknesses or deficiencies (i.e., latent flaws) that would prevent the enforcement of the security policy.
Assessment Procedures
AC-25.1 - CCI-002356
The organization defines the access control policies to be implemented by the information system's reference monitor.
AC-25.2 - CCI-002357
The information system implements a reference monitor for organization-defined access control policies that is tamperproof.
AC-25.3 - CCI-002358
The information system implements a reference monitor for organization-defined access control policies that is always invoked.
AC-25.4 - CCI-002359
The information system implements a reference monitor for organization-defined access control policies that is small enough to be subject to analysis and testing, the completeness of which can be assured.
Related Controls
  1. AC-3 - Access Enforcement
  2. AC-16 - Security Attributes
  3. SC-3 - Security Function Isolation
  4. SC-39 - Process Isolation
Enhancements
SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES
RMF Control
AT-1
Subject Area
AWARENESS AND TRAINING
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
AT-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
AT-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
AT-1.1 - CCI-002048
The organization defines the personnel or roles to whom the security awareness and training policy is disseminated.
AT-1.2 - CCI-002049
The organization defines the personnel or roles to whom the security awareness and training procedures are disseminated.
AT-1.3 - CCI-000100
The organization develops and documents a security awareness and training policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
AT-1.4 - CCI-000101
The organization disseminates a security awareness and training policy to organization-defined personnel or roles.
AT-1.6 - CCI-000103
The organization develops and documents procedures to facilitate the implementation of the security awareness and training policy and associated security awareness and training controls.
AT-1.7 - CCI-000104
The organization disseminates security awareness and training procedures to organization-defined personnel or roles.
AT-1.8 - CCI-000102
The organization reviews and updates the current security awareness and training policy in accordance with organization-defined frequency.
AT-1.5 - CCI-001564
The organization defines the frequency of security awareness and training policy reviews and updates.
AT-1.9 - CCI-000105
The organization reviews and updates the current security awareness and training procedures in accordance with organization-defined frequency.
AT-1.10 - CCI-001565
The organization defines the frequency of security awareness and training procedure reviews and updates.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
SECURITY AWARENESS TRAINING
RMF Control
AT-2
Subject Area
AWARENESS AND TRAINING
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization provides basic security awareness training to information system users (including managers, senior executives, and contractors):
AT-2a.
As part of initial training for new users;
AT-2b.
When required by information system changes; and
AT-2c.
[Assignment: organization-defined frequency] thereafter.
Supplemental Guidance
Organizations determine the appropriate content of security awareness training and security awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.
Assessment Procedures
AT-2.1 - CCI-001480
The organization defines the frequency for providing refresher security awareness training to all information system users (including managers, senior executives, and contractors).
AT-2.2 - CCI-000106
The organization provides basic security awareness training to information system users (including managers, senior executives, and contractors) as part of initial training for new users.
AT-2.3 - CCI-000112
The organization provides basic security awareness training to information system users (including managers, senior executives, and contractors) when required by information system changes.
AT-2.4 - CCI-001479
The organization provides refresher security awareness training to all information system users (including managers, senior executives, and contractors) in accordance with the organization-defined frequency.
Related Controls
  1. AT-3 - Role-Based Security Training
  2. AT-4 - Security Training Records
  3. PL-4 - Rules Of Behavior
References
Enhancements
AT-2 (1) - Practical Exercises
The organization includes practical exercises in security awareness training that simulate actual cyber attacks.
AT-2 (2) - Insider Threat
The organization includes security awareness training on recognizing and reporting potential indicators of insider threat.
ROLE-BASED SECURITY TRAINING
RMF Control
AT-3
Subject Area
AWARENESS AND TRAINING
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization provides role-based security training to personnel with assigned security roles and responsibilities:
AT-3a.
Before authorizing access to the information system or performing assigned duties;
AT-3b.
When required by information system changes; and
AT-3c.
[Assignment: organization-defined frequency] thereafter.
Supplemental Guidance
Organizations determine the appropriate content of security training based on the assigned roles and responsibilities of individuals and the specific security requirements of organizations and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include for example, policies, procedures, tools, and artifacts for the organizational security roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of organizational information security programs. Role-based security training also applies to contractors providing services to federal agencies.
Assessment Procedures
AT-3.1 - CCI-000108
The organization provides role-based security training to personnel with assigned security roles and responsibilities before authorizing access to the information system or performing assigned duties
AT-3.2 - CCI-000109
The organization provides role-based security training to personnel with assigned security roles and responsibilities when required by information system changes.
AT-3.3 - CCI-000110
The organization provides refresher role-based security training to personnel with assigned security roles and responsibilities in accordance with organization-defined frequency.
AT-3.4 - CCI-000111
The organization defines a frequency for providing refresher role-based security training.
Related Controls
  1. AT-2 - Security Awareness Training
  2. AT-4 - Security Training Records
  3. PL-4 - Rules Of Behavior
  4. PS-7 - Third-Party Personnel Security
  5. SA-3 - System Development Life Cycle
  6. SA-12 - Supply Chain Protection
  7. SA-16 - Developer-Provided Training
References
Enhancements
AT-3 (1) - Environmental Controls
The organization provides [Assignment: organization-defined personnel or roles] with initial and [Assignment: organization-defined frequency] training in the employment and operation of environmental controls.
AT-3 (2) - Physical Security Controls
The organization provides [Assignment: organization-defined personnel or roles] with initial and [Assignment: organization-defined frequency] training in the employment and operation of physical security controls.
AT-3 (3) - Practical Exercises
The organization includes practical exercises in security training that reinforce training objectives.
AT-3 (4) - Suspicious Communications And Anomalous System Behavior
The organization provides training to its personnel on [Assignment: organization-defined indicators of malicious code] to recognize suspicious communications and anomalous behavior in organizational information systems.
SECURITY TRAINING RECORDS
RMF Control
AT-4
Subject Area
AWARENESS AND TRAINING
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
AT-4a.
Documents and monitors individual information system security training activities including basic security awareness training and specific information system security training; and
AT-4b.
Retains 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.
Assessment Procedures
AT-4.1 - CCI-000113
The organization documents individual information system security training activities, including basic security awareness training and specific information system security training.
AT-4.2 - CCI-000114
The organization monitors individual information system security training activities, including basic security awareness training and specific information system security training.
AT-4.3 - CCI-001336
The organization retains individual training records for an organization-defined time period.
AT-4.4 - CCI-001337
The organization defines a time period for retaining individual training records.
Related Controls
  1. AT-2 - Security Awareness Training
  2. AT-3 - Role-Based Security Training
  3. PM-14 - Testing, Training, And Monitoring
Enhancements
CONTACTS WITH SECURITY GROUPS AND ASSOCIATIONS
RMF Control
AT-5
Subject Area
AWARENESS AND TRAINING
Baseline Areas
Requirements
[Withdrawn: Incorporated into PM-15].
Supplemental Guidance
Assessment Procedures
Related Controls
Enhancements
AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES
RMF Control
AU-1
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
AU-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
AU-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
AU-1.1 - CCI-001930
The organization defines the organizational personnel or roles to whom the audit and accountability policy is to be disseminated.
AU-1.2 - CCI-001931
The organization defines the organizational personnel or roles to whom the audit and accountability procedures are to be disseminated.
AU-1.3 - CCI-000117
The organization develops and documents an audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
AU-1.4 - CCI-001832
The organization disseminates the audit and accountability policy to organization-defined personnel or roles.
AU-1.5 - CCI-000120
The organization develops and documents procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls.
AU-1.6 - CCI-001834
The organization disseminates to organization-defined personnel or roles procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls.
AU-1.7 - CCI-000119
The organization reviews and updates the audit and accountability policy on an organization-defined frequency.
AU-1.8 - CCI-001569
The organization defines the frequency on which it will review and update the audit and accountability policy.
AU-1.9 - CCI-000122
The organization reviews and updates the audit and accountability procedures on an organization-defined frequency.
AU-1.10 - CCI-001570
The organization defines the frequency on which it will review and update the audit and accountability procedures.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
AUDIT EVENTS
RMF Control
AU-2
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
AU-2a.
Determines that the information system is capable of auditing the following events: [Assignment: organization-defined auditable events];
AU-2b.
Coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events;
AU-2c.
Provides a rationale for why the auditable events are deemed to be adequate to support after-the-fact investigations of security incidents; and
AU-2d.
Determines that the following events are to be audited within the information 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 information system. Organizations identify audit events as those events which are significant and relevant to the security of information systems and the environments in which those systems operate in order to meet specific and ongoing audit needs. Audit events can include, for example, password changes, failed logons, or failed accesses related to information systems, administrative privilege usage, PIV credential usage, or third-party credential usage. In determining the set of auditable events, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are audited at a given point in time. For example, organizations may determine that information systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security controls and control enhancements. Organizations also include auditable events that are required by applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable events, the auditing necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented architectures.
Assessment Procedures
AU-2.1 - CCI-000123
The organization determines the information system must be capable of auditing an organization-defined list of auditable events.
AU-2.2 - CCI-001571
The organization defines the information system auditable events.
AU-2.3 - CCI-000124
The organization coordinates the security audit function with other organizational entities requiring audit-related information to enhance mutual support and to help guide the selection of auditable events.
AU-2.4 - CCI-000125
The organization provides a rationale for why the list of auditable events is deemed to be adequate to support after-the-fact investigations of security incidents.
AU-2.7 - CCI-001485
The organization defines the events which are to be audited on the information system on an organization-defined frequency of (or situation requiring) auditing for each identified event.
AU-2.6 - CCI-001484
The organization defines frequency of (or situation requiring) auditing for each identified event.
AU-2.5 - CCI-000126
The organization determines that the organization-defined subset of the auditable events defined in AU-2 are to be audited within the information system.
Related Controls
  1. AC-6 - Least Privilege
  2. AC-17 - Remote Access
  3. AU-3 - Content Of Audit Records
  4. AU-12 - Audit Generation
  5. MA-4 - Nonlocal Maintenance
  6. MP-2 - Media Access
  7. MP-4 - Media Storage
  8. SI-4 - Information System Monitoring
References
  1. NIST Special Publication 800-92, http://csrc.nist.gov/publications/PubsSPs.html#800-92
  2. http://idmanagement.gov, http://idmanagement.gov
Enhancements
AU-2 (1) - Compilation Of Audit Records From Multiple Sources
[Withdrawn: Incorporated into AU-12].
AU-2 (2) - Selection Of Audit Events By Component
[Withdrawn: Incorporated into AU-12].
AU-2 (3) - Reviews And Updates
The organization reviews and updates the audited events [Assignment: organization-defined frequency].
AU-2 (4) - Privileged Functions
[Withdrawn: Incorporated into AC-6 (9)].
CONTENT OF AUDIT RECORDS
RMF Control
AU-3
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event.
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/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred).
Assessment Procedures
AU-3.1 - CCI-000130
The information system generates audit records containing information that establishes what type of event occurred.
AU-3.2 - CCI-000131
The information system generates audit records containing information that establishes when an event occurred.
AU-3.3 - CCI-000132
The information system generates audit records containing information that establishes where the event occurred.
AU-3.4 - CCI-000133
The information system generates audit records containing information that establishes the source of the event.
AU-3.5 - CCI-000134
The information system generates audit records containing information that establishes the outcome of the event.
AU-3.6 - CCI-001487
The information system generates audit records containing information that establishes the identity of any individuals or subjects associated with the event.
Related Controls
  1. AU-2 - Audit Events
  2. AU-8 - Time Stamps
  3. AU-12 - Audit Generation
  4. SI-11 - Error Handling
Enhancements
AU-3 (1) - Additional Audit Information
The information system generates audit records containing the following additional information: [Assignment: organization-defined additional, more detailed information].
AU-3 (2) - Centralized Management Of Planned Audit Record Content
The information system provides centralized management and configuration of the content to be captured in audit records generated by [Assignment: organization-defined information system components].
AUDIT STORAGE CAPACITY
RMF Control
AU-4
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization allocates audit record storage capacity in accordance with [Assignment: organization-defined audit record storage 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.
Assessment Procedures
AU-4.1 - CCI-001848
The organization defines the audit record storage requirements.
AU-4.2 - CCI-001849
The organization allocates audit record storage capacity in accordance with organization-defined audit record storage requirements.
Related Controls
  1. AU-2 - Audit Events
  2. AU-5 - Response To Audit Processing Failures
  3. AU-6 - Audit Review, Analysis, And Reporting
  4. AU-7 - Audit Reduction And Report Generation
  5. AU-11 - Audit Record Retention
  6. SI-4 - Information System Monitoring
Enhancements
AU-4 (1) - Transfer To Alternate Storage
The information system off-loads audit records [Assignment: organization-defined frequency] onto a different system or media than the system being audited.
RESPONSE TO AUDIT PROCESSING FAILURES
RMF Control
AU-5
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The information system:
AU-5a.
Alerts [Assignment: organization-defined personnel or roles] in the event of an audit processing failure; and
AU-5b.
Takes the following additional actions: [Assignment: organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)].
Supplemental Guidance
Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for different audit processing failures (e.g., by type, by location, by severity, or a combination of such factors). This control applies to each audit data storage repository (i.e., distinct information system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.
Assessment Procedures
AU-5.1 - CCI-000139
The information system alerts designated organization-defined personnel or roles in the event of an audit processing failure.
AU-5.2 - CCI-001572
The organization defines the personnel or roles to be alerted in the event of an audit processing failure.
AU-5.3 - CCI-000140
The information system takes organization defined actions upon audit failure (e.g., shut down information system, overwrite oldest audit records, stop generating audit records).
AU-5.4 - CCI-001490
The organization defines actions to be taken by the information system upon audit failure (e.g., shut down information system, overwrite oldest audit records, stop generating audit records).
Related Controls
  1. AU-4 - Audit Storage Capacity
  2. SI-12 - Information Handling And Retention
Enhancements
AU-5 (1) - Audit Storage Capacity
The information system provides 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.
AU-5 (2) - Real-Time Alerts
The information system provides 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].
AU-5 (3) - Configurable Traffic Volume Thresholds
The information system enforces configurable network communications traffic volume thresholds reflecting limits on auditing capacity and [Selection: rejects; delays] network traffic above those thresholds.
AU-5 (4) - Shutdown On Failure
The information system invokes 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.
AUDIT REVIEW, ANALYSIS, AND REPORTING
RMF Control
AU-6
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
AU-6a.
Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity]; and
AU-6b.
Reports findings to [Assignment: organization-defined personnel or roles].
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 the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority.
Assessment Procedures
AU-6.1 - CCI-000148
The organization reviews and analyzes information system audit records on an organization defined frequency for indications of organization-defined inappropriate or unusual activity.
AU-6.2 - CCI-000151
The organization defines the frequency for the review and analysis of information system audit records for organization-defined inappropriate or unusual activity.
AU-6.3 - CCI-001862
The organization defines the types of inappropriate or unusual activity to be reviewed and analyzed in the audit records.
AU-6.4 - CCI-000149
The organization reports any findings to organization-defined personnel or roles for indications of organization-defined inappropriate or unusual activity.
AU-6.5 - CCI-001863
The organization defines the personnel or roles to receive the reports of organization-defined inappropriate or unusual activity.
Related Controls
  1. AC-2 - Account Management
  2. AC-3 - Access Enforcement
  3. AC-6 - Least Privilege
  4. AC-17 - Remote Access
  5. AT-3 - Role-Based Security Training
  6. AU-7 - Audit Reduction And Report Generation
  7. AU-16 - Cross-Organizational Auditing
  8. CA-7 - Continuous Monitoring
  9. CM-5 - Access Restrictions For Change
  10. CM-10 - Software Usage Restrictions
  11. CM-11 - User-Installed Software
  12. IA-3 - Device Identification And Authentication
  13. IA-5 - Authenticator Management
  14. IR-5 - Incident Monitoring
  15. IR-6 - Incident Reporting
  16. MA-4 - Nonlocal Maintenance
  17. MP-4 - Media Storage
  18. PE-3 - Physical Access Control
  19. PE-6 - Monitoring Physical Access
  20. PE-14 - Temperature And Humidity Controls
  21. PE-16 - Delivery And Removal
  22. RA-5 - Vulnerability Scanning
  23. SC-7 - Boundary Protection
  24. SC-18 - Mobile Code
  25. SC-19 - Voice Over Internet Protocol
  26. SI-3 - Malicious Code Protection
  27. SI-4 - Information System Monitoring
  28. SI-7 - Software, Firmware, And Information Integrity
Enhancements
AU-6 (1) - Process Integration
The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities.
AU-6 (2) - Automated Security Alerts
[Withdrawn: Incorporated into SI-4].
AU-6 (3) - Correlate Audit Repositories
The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness.
AU-6 (4) - Central Review And Analysis
The information system provides the capability to centrally review and analyze audit records from multiple components within the system.
AU-6 (5) - Integration / Scanning And Monitoring Capabilities
The organization integrates analysis of audit records with analysis of [Selection (one or more): vulnerability scanning information; performance data; information system monitoring information; [Assignment: organization-defined data/information collected from other sources]] to further enhance the ability to identify inappropriate or unusual activity.
AU-6 (6) - Correlation With Physical Monitoring
The organization correlates information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual, or malevolent activity.
AU-6 (7) - Permitted Actions
The organization specifies the permitted actions for each [Selection (one or more): information system process; role; user] associated with the review, analysis, and reporting of audit information.
AU-6 (8) - Full Text Analysis Of Privileged Commands
The organization performs a full text analysis of audited privileged commands in a physically distinct component or subsystem of the information system, or other information system that is dedicated to that analysis.
AU-6 (9) - Correlation With Information From Nontechnical Sources
The organization correlates information from nontechnical sources with audit information to enhance organization-wide situational awareness.
AU-6 (10) - Audit Level Adjustment
The organization adjusts the level of audit review, analysis, and reporting within the information system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information.
AUDIT REDUCTION AND REPORT GENERATION
RMF Control
AU-7
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
MODERATE, HIGH
Requirements
The information system provides an audit reduction and report generation capability that:
AU-7a.
Supports on-demand audit review, analysis, and reporting requirements and after-the-fact investigations of security incidents; and
AU-7b.
Does not alter the original content or time ordering of audit records.
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 information system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient.
Assessment Procedures
AU-7.1 - CCI-001875
The information system provides an audit reduction capability that supports on-demand audit review and analysis.
AU-7.2 - CCI-001876
The information system provides an audit reduction capability that supports on-demand reporting requirements.
AU-7.3 - CCI-001877
The information system provides an audit reduction capability that supports after-the-fact investigations of security incidents.
AU-7.4 - CCI-001878
The information system provides a report generation capability that supports on-demand audit review and analysis.
AU-7.5 - CCI-001879
The information system provides a report generation capability that supports on-demand reporting requirements.
AU-7.6 - CCI-001880
The information system provides a report generation capability that supports after-the-fact investigations of security incidents.
AU-7.7 - CCI-001881
The information system provides an audit reduction capability that does not alter original content or time ordering of audit records.
AU-7.8 - CCI-001882
The information system provides a report generation capability that does not alter original content or time ordering of audit records.
Related Controls
  1. AU-6 - Audit Review, Analysis, And Reporting
Enhancements
AU-7 (1) - Automatic Processing
The information system provides the capability to process audit records for events of interest based on [Assignment: organization-defined audit fields within audit records].
AU-7 (2) - Automatic Sort And Search
The information system provides 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].
TIME STAMPS
RMF Control
AU-8
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The information system:
AU-8a.
Uses internal system clocks to generate time stamps for audit records; and
AU-8b.
Records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT) and meets [Assignment: organization-defined granularity of time measurement].
Supplemental Guidance
Time stamps generated by the information system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.
Assessment Procedures
AU-8.1 - CCI-000159
The information system uses internal system clocks to generate time stamps for audit records.
AU-8.2 - CCI-001888
The organization defines the granularity of time measurement for time stamps generated for audit records.
AU-8.3 - CCI-001889
The information system records time stamps for audit records that meets organization-defined granularity of time measurement.
AU-8.4 - CCI-001890
The information system records time stamps for audit records that can be mapped to Coordinated Universal Time (UTC) or Greenwich Mean Time (GMT).
Related Controls
  1. AU-3 - Content Of Audit Records
  2. AU-12 - Audit Generation
Enhancements
AU-8 (1) - Synchronization With Authoritative Time Source
The information system:
AU-8 (2) - Secondary Authoritative Time Source
The information system identifies a secondary authoritative time source that is located in a different geographic region than the primary authoritative time source.
PROTECTION OF AUDIT INFORMATION
RMF Control
AU-9
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The information system protects audit information and audit tools from unauthorized access, modification, and deletion.
Supplemental Guidance
Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.
Assessment Procedures
AU-9.1 - CCI-000162
The information system protects audit information from unauthorized access.
AU-9.2 - CCI-000163
The information system protects audit information from unauthorized modification.
AU-9.3 - CCI-000164
The information system protects audit information from unauthorized deletion.
AU-9.4 - CCI-001493
The information system protects audit tools from unauthorized access.
AU-9.5 - CCI-001494
The information system protects audit tools from unauthorized modification.
AU-9.6 - CCI-001495
The information system protects audit tools from unauthorized deletion.
Related Controls
  1. AC-3 - Access Enforcement
  2. AC-6 - Least Privilege
  3. MP-2 - Media Access
  4. MP-4 - Media Storage
  5. PE-2 - Physical Access Authorizations
  6. PE-3 - Physical Access Control
  7. PE-6 - Monitoring Physical Access
Enhancements
AU-9 (1) - Hardware Write-Once Media
The information system writes audit trails to hardware-enforced, write-once media.
AU-9 (2) - Audit Backup On Separate Physical Systems / Components
The information system backs up audit records [Assignment: organization-defined frequency] onto a physically different system or system component than the system or component being audited.
AU-9 (3) - Cryptographic Protection
The information system implements cryptographic mechanisms to protect the integrity of audit information and audit tools.
AU-9 (4) - Access By Subset Of Privileged Users
The organization authorizes access to management of audit functionality to only [Assignment: organization-defined subset of privileged users].
AU-9 (5) - Dual Authorization
The organization enforces dual authorization for [Selection (one or more): movement; deletion] of [Assignment: organization-defined audit information].
AU-9 (6) - Read Only Access
The organization authorizes read-only access to audit information to [Assignment: organization-defined subset of privileged users].
NON-REPUDIATION
RMF Control
AU-10
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
HIGH
Requirements
The information system protects 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, for example, creating information, sending and receiving messages, approving information (e.g., indicating concurrence or signing a contract). Non-repudiation protects individuals against later claims by: (i) authors of not having authored particular documents; (ii) senders of not having transmitted messages; (iii) receivers of not having received messages; or (iv) signatories of not having signed documents. Non-repudiation services can be used to determine if information originated from a particular individual, or if an individual took specific actions (e.g., sending an email, signing a contract, approving a procurement request) or received specific information. Organizations obtain non-repudiation services by employing various techniques or mechanisms (e.g., digital signatures, digital message receipts).
Assessment Procedures
AU-10.1 - CCI-000166
The information system protects against an individual (or process acting on behalf of an individual) falsely denying having performed organization-defined actions to be covered by non-repudiation.
AU-10.2 - CCI-001899
The organization defines the action to be covered by non-repudiation.
Related Controls
  1. SC-12 - Cryptographic Key Establishment And Management
  2. SC-8 - Transmission Confidentiality And Integrity
  3. SC-13 - Cryptographic Protection
  4. SC-16 - Transmission Of Security Attributes
  5. SC-17 - Public Key Infrastructure Certificates
  6. SC-23 - Session Authenticity
Enhancements
AU-10 (1) - Association Of Identities
The information system:
AU-10 (2) - Validate Binding Of Information Producer Identity
The information system:
AU-10 (3) - Chain Of Custody
The information system maintains reviewer/releaser identity and credentials within the established chain of custody for all information reviewed or released.
AU-10 (4) - Validate Binding Of Information Reviewer Identity
The information system:
AU-10 (5) - Digital Signatures
[Withdrawn: Incorporated into SI-7].
AUDIT RECORD RETENTION
RMF Control
AU-11
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization retains audit records for [Assignment: organization-defined time period consistent with records retention policy] to provide support for after-the-fact investigations of security 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.
Assessment Procedures
AU-11.1 - CCI-000167
The organization retains audit records for an organization defined time period to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements.
AU-11.2 - CCI-000168
The organization defines the time period for retention of audit records which is consistent with its records retention policy, to provide support for after-the-fact investigations of security incidents, and meet regulatory and organizational information retention requirements.
Related Controls
  1. AU-4 - Audit Storage Capacity
  2. AU-5 - Response To Audit Processing Failures
  3. AU-9 - Protection Of Audit Information
  4. MP-6 - Media Sanitization
Enhancements
AU-11 (1) - Long-Term Retrieval Capability
The organization employs [Assignment: organization-defined measures] to ensure that long-term audit records generated by the information system can be retrieved.
AUDIT GENERATION
RMF Control
AU-12
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The information system:
AU-12a.
Provides audit record generation capability for the auditable events defined in AU-2 a. at [Assignment: organization-defined information system components];
AU-12b.
Allows [Assignment: organization-defined personnel or roles] to select which auditable events are to be audited by specific components of the information system; and
AU-12c.
Generates audit records for the events defined in AU-2 d. with the content defined in AU-3.
Supplemental Guidance
Audit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records.
Assessment Procedures
AU-12.1 - CCI-000169
The information system provides audit record generation capability for the auditable events defined in AU-2 a at organization defined information system components.
AU-12.2 - CCI-001459
The organization defines information system components that provide audit record generation capability.
AU-12.3 - CCI-000171
The information system allows organization-defined personnel or roles to select which auditable events are to be audited by specific components of the information system.
AU-12.4 - CCI-001910
The organization defines the personnel or roles allowed select which auditable events are to be audited by specific components of the information system.
AU-12.5 - CCI-000172
The information system generates audit records for the events defined in AU-2 d with the content defined in AU-3.
Related Controls
  1. AC-3 - Access Enforcement
  2. AU-2 - Audit Events
  3. AU-3 - Content Of Audit Records
  4. AU-6 - Audit Review, Analysis, And Reporting
  5. AU-7 - Audit Reduction And Report Generation
Enhancements
AU-12 (1) - System-Wide / Time-Correlated Audit Trail
The information system compiles audit records from [Assignment: organization-defined information 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].
AU-12 (2) - Standardized Formats
The information system produces a system-wide (logical or physical) audit trail composed of audit records in a standardized format.
AU-12 (3) - Changes By Authorized Individuals
The information system provides the capability for [Assignment: organization-defined individuals or roles] to change the auditing to be performed on [Assignment: organization-defined information system components] based on [Assignment: organization-defined selectable event criteria] within [Assignment: organization-defined time thresholds].
MONITORING FOR INFORMATION DISCLOSURE
RMF Control
AU-13
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
Requirements
The organization monitors [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.
Assessment Procedures
AU-13.1 - CCI-001460
The organization monitors organization-defined open source information and/or information sites per organization-defined frequency for evidence of unauthorized exfiltration or disclosure of organizational information.
AU-13.2 - CCI-001461
The organization defines a frequency for monitoring open source information and/or information sites for evidence of unauthorized exfiltration or disclosure of organizational information.
AU-13.3 - CCI-001915
The organization defines the open source information and/or information sites to be monitored for evidence of unauthorized exfiltration or disclosure of organizational information.
Related Controls
  1. PE-3 - Physical Access Control
  2. SC-7 - Boundary Protection
Enhancements
AU-13 (1) - Use Of Automated Tools
The organization employs automated mechanisms to determine if organizational information has been disclosed in an unauthorized manner.
AU-13 (2) - Review Of Monitored Sites
The organization reviews the open source information sites being monitored [Assignment: organization-defined frequency].
SESSION AUDIT
RMF Control
AU-14
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
Requirements
The information system provides 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 federal laws, Executive Orders, directives, policies, regulations, or standards.
Assessment Procedures
AU-14.1 - CCI-001919
The information system provides the capability for authorized users to select a user session to capture/record or view/hear.
Related Controls
  1. AC-3 - Access Enforcement
  2. AU-4 - Audit Storage Capacity
  3. AU-5 - Response To Audit Processing Failures
  4. AU-9 - Protection Of Audit Information
  5. AU-11 - Audit Record Retention
Enhancements
AU-14 (1) - System Start-Up
The information system initiates session audits at system start-up.
AU-14 (2) - Capture/Record And Log Content
The information system provides the capability for authorized users to capture/record and log content related to a user session.
AU-14 (3) - Remote Viewing / Listening
The information system provides the capability for authorized users to remotely view/hear all content related to an established user session in real time.
ALTERNATE AUDIT CAPABILITY
RMF Control
AU-15
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
Requirements
The organization provides an alternate audit capability in the event of a failure in primary audit capability that provides [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.
Assessment Procedures
AU-15.1 - CCI-001921
The organization defines the alternative audit functionality to be provided in the event of a failure in the primary audit capability.
AU-15.2 - CCI-001922
The organization provides an alternative audit capability in the event of a failure in primary audit capability that provides organization-defined alternative audit functionality.
Related Controls
  1. AU-5 - Response To Audit Processing Failures
Enhancements
CROSS-ORGANIZATIONAL AUDITING
RMF Control
AU-16
Subject Area
AUDIT AND ACCOUNTABILITY
Baseline Areas
Requirements
The organization employs [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 information systems and/or services of external organizations, the auditing capability necessitates a coordinated approach across organizations. For example, maintaining the identity of individuals that requested particular services across organizational boundaries may often be very difficult, and doing so may prove to have significant performance ramifications. Therefore, it is often the case that cross-organizational auditing (e.g., the type of auditing capability provided by service-oriented architectures) simply captures the identity of individuals issuing requests at the initial information system, and subsequent systems record that the requests emanated from authorized individuals.
Assessment Procedures
AU-16.1 - CCI-001923
The organization defines the audit information to be coordinated among external organizations when audit information is transmitted across organizational boundaries.
AU-16.2 - CCI-001924
The organization defines the methods to be employed when coordinating audit information among external organizations when audit information is transmitted across organizational boundaries.
AU-16.3 - CCI-001925
The organization employs organization-defined methods for coordinating organization-defined audit information among external organizations when audit information is transmitted across organizational boundaries.
Related Controls
  1. AU-6 - Audit Review, Analysis, And Reporting
Enhancements
AU-16 (1) - Identity Preservation
The organization requires that the identity of individuals be preserved in cross-organizational audit trails.
AU-16 (2) - Sharing Of Audit Information
The organization provides cross-organizational audit information to [Assignment: organization-defined organizations] based on [Assignment: organization-defined cross-organizational sharing agreements].
SECURITY ASSESSMENT AND AUTHORIZATION POLICY AND PROCEDURES
RMF Control
CA-1
Subject Area
SECURITY ASSESSMENT AND AUTHORIZATION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CA-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
CA-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
CA-1.1 - CCI-002061
The organization defines the personnel or roles to whom security assessment and authorization policy is to be disseminated.
CA-1.2 - CCI-002062
The organization defines the personnel or roles to whom the security assessment and authorization procedures are to be disseminated.
CA-1.3 - CCI-000239
The organization develops and documents a security assessment and authorization policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
CA-1.4 - CCI-000240
The organization disseminates to organization-defined personnel or roles a security assessment and authorization policy.
CA-1.5 - CCI-000242
The organization develops and documents procedures to facilitate the implementation of the security assessment and authorization policy and associated security assessment and authorization controls.
CA-1.6 - CCI-000243
The organization disseminates to organization-defined personnel or roles procedures to facilitate the implementation of the security assessment and authorization policy and associated security assessment and authorization controls.
CA-1.7 - CCI-000238
The organization defines the frequency to review and update the current security assessment and authorization policy.
CA-1.8 - CCI-000241
The organization reviews and updates the current security assessment and authorization policy in accordance with organization-defined frequency.
CA-1.9 - CCI-000244
The organization reviews and updates the current security assessment and authorization procedures in accordance with organization-defined frequency.
CA-1.10 - CCI-001578
The organization defines the frequency to review and update the current security assessment and authorization procedures.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
SECURITY ASSESSMENTS
RMF Control
CA-2
Subject Area
SECURITY ASSESSMENT AND AUTHORIZATION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CA-2a.
Develops a security assessment plan that describes the scope of the assessment including:
CA-2b.
Assesses the security controls in the information 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 requirements;
CA-2c.
Produces a security assessment report that documents the results of the assessment; and
CA-2d.
Provides the results of the security control assessment to [Assignment: organization-defined individuals or roles].
Supplemental Guidance
Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives. To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.
Assessment Procedures
CA-2.1 - CCI-000245
The organization develops a security assessment plan for the information system and its environment of operation. IG&VP WG Note: *For DoD, the security assessment plan information is included in the Security Plan and the security assessment report and is not a separate document/artifact.*
CA-2.2 - CCI-000246
The organization's security assessment plan describes the security controls and control enhancements under assessment. IG&VP WG Note *For DoD, the security assessment plan information is included in the Security Plan and the security assessment report and is not a separate document/artifact.*
CA-2.3 - CCI-000247
The organization's security assessment plan describes assessment procedures to be used to determine security control effectiveness. IG&VP WG Note: *For DoD, the security assessment plan information is included in the Security Plan and the security assessment report and is not a separate document/artifact.*
CA-2.4 - CCI-000248
The organization's security assessment plan describes assessment environment. *For DoD, the security assessment plan information is included in the Security Plan and the security assessment report and is not a separate document/artifact.*
CA-2.5 - CCI-002070
The organization's security assessment plan describes assessment team, assessment roles and responsibilities.
CA-2.6 - CCI-000251
The organization assesses, on an organization-defined frequency, the security controls in the information system and its environment of operation to determine the extent to which the controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting the security requirements. IG&VP WG Note: *For DoD, the security assessment plan information is included in the Security Plan and the security assessment report and is not a separate document/artifact.*
CA-2.7 - CCI-000252
The organization defines the frequency on which the security controls in the information system and its environment of operation are assessed. IG&VP WG Note: *For DoD, the security assessment plan information is included in the Security Plan and the security assessment report and is not a separate document/artifact.*
CA-2.8 - CCI-000253
The organization produces a security assessment report that documents the results of the assessment against the information system and its environment of operation. IG&VP WG Note: *For DoD, the security assessment plan information is included in the Security Plan and the security assessment report and is not a separate document/artifact.*
CA-2.9 - CCI-000254
The organization provides the results of the security control assessment against information system and its environment of operation to organization-defined individuals or roles. IG&VP WG Note: *For DoD, the security assessment plan information is included in the Security Plan and the security assessment report and is not a separate document/artifact.*
CA-2.10 - CCI-002071
The organization defines the individuals or roles to whom the results of the security control assessment is to be provided.
Related Controls
  1. CA-5 - Plan Of Action And Milestones
  2. CA-6 - Security Authorization
  3. CA-7 - Continuous Monitoring
  4. PM-9 - Risk Management Strategy
  5. RA-5 - Vulnerability Scanning
  6. SA-11 - Developer Security Testing And Evaluation
  7. SA-12 - Supply Chain Protection
  8. SI-4 - Information System Monitoring
References
Enhancements
CA-2 (1) - Independent Assessors
The organization employs assessors or assessment teams with [Assignment: organization-defined level of independence] to conduct security control assessments.
CA-2 (2) - Specialized Assessments
The organization includes as part of security 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/load testing; [Assignment: organization-defined other forms of security assessment]].
CA-2 (3) - External Organizations
The organization accepts the results of an assessment of [Assignment: organization-defined information system] performed by [Assignment: organization-defined external organization] when the assessment meets [Assignment: organization-defined requirements].
SYSTEM INTERCONNECTIONS
RMF Control
CA-3
Subject Area
SECURITY ASSESSMENT AND AUTHORIZATION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CA-3a.
Authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements;
CA-3b.
Documents, for each interconnection, the interface characteristics, security requirements, and the nature of the information communicated; and
CA-3c.
Reviews and updates Interconnection Security Agreements [Assignment: organization-defined frequency].
Supplemental Guidance
This control applies to dedicated connections between information systems (i.e., system interconnections) and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations carefully consider the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within organizations and external to organizations. Authorizing officials determine the risk associated with information system connections and the appropriate controls employed. If interconnecting systems have the same authorizing official, organizations do not need to develop Interconnection Security Agreements. Instead, organizations can describe the interface characteristics between those interconnecting systems in their respective security plans. If interconnecting systems have different authorizing officials within the same organization, organizations can either develop Interconnection Security Agreements or describe the interface characteristics between systems in the security plans for the respective systems. Organizations may also incorporate Interconnection Security Agreement information into formal contracts, especially for interconnections established between federal agencies and nonfederal (i.e., private sector) organizations. Risk considerations also include information systems sharing the same networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices), there may be specialized connections in place during preoperational testing. Such connections may require Interconnection Security Agreements and be subject to additional security controls.
Assessment Procedures
CA-3.1 - CCI-000257
The organization authorizes connections from the information system to other information systems through the use of Interconnection Security Agreements.
CA-3.2 - CCI-000258
The organization documents, for each interconnection, the interface characteristics.
CA-3.3 - CCI-000259
The organization documents, for each interconnection, the security requirements.
CA-3.4 - CCI-000260
The organization documents, for each interconnection, the nature of the information communicated.
CA-3.5 - CCI-002083
The organization reviews and updates Interconnection Security Agreements on an organization-defined frequency.
CA-3.6 - CCI-002084
The organization defines the frequency that reviews and updates to the Interconnection Security Agreements must be conducted.
Related Controls
  1. AC-3 - Access Enforcement
  2. AC-4 - Information Flow Enforcement
  3. AC-20 - Use Of External Information Systems
  4. AU-2 - Audit Events
  5. AU-12 - Audit Generation
  6. AU-16 - Cross-Organizational Auditing
  7. CA-7 - Continuous Monitoring
  8. IA-3 - Device Identification And Authentication
  9. SA-9 - External Information System Services
  10. SC-7 - Boundary Protection
  11. SI-4 - Information System Monitoring
References
Enhancements
CA-3 (1) - Unclassified National Security System Connections
The organization prohibits 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].
CA-3 (2) - Classified National Security System Connections
The organization prohibits the direct connection of a classified, national security system to an external network without the use of [Assignment: organization-defined boundary protection device].
CA-3 (3) - Unclassified Non-National Security System Connections
The organization prohibits 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].
CA-3 (4) - Connections To Public Networks
The organization prohibits the direct connection of an [Assignment: organization-defined information system] to a public network.
CA-3 (5) - Restrictions On External System Connections
The organization employs [Selection: allow-all, deny-by-exception; deny-all, permit-by-exception] policy for allowing [Assignment: organization-defined information systems] to connect to external information systems.
SECURITY CERTIFICATION
RMF Control
CA-4
Subject Area
SECURITY ASSESSMENT AND AUTHORIZATION
Baseline Areas
Requirements
[Withdrawn: Incorporated into CA-2].
Supplemental Guidance
Assessment Procedures
Related Controls
Enhancements
PLAN OF ACTION AND MILESTONES
RMF Control
CA-5
Subject Area
SECURITY ASSESSMENT AND AUTHORIZATION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CA-5a.
Develops a plan of action and milestones for the information system to document the organization�s planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system; and
CA-5b.
Updates existing plan of action and milestones [Assignment: organization-defined frequency] based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.
Supplemental Guidance
Plans of action and milestones are key documents in security authorization packages and are subject to federal reporting requirements established by OMB.
Assessment Procedures
CA-5.1 - CCI-000264
The organization develops a plan of action and milestones for the information system to document the organizations planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities in the system.
CA-5.2 - CCI-000265
The organization defines the frequency to update existing plan of action and milestones for the information system.
CA-5.3 - CCI-000266
The organization updates, on an organization-defined frequency, existing plan of action and milestones based on the findings from security controls assessments, security impact analyses, and continuous monitoring activities.
Related Controls
  1. CA-2 - Security Assessments
  2. CA-7 - Continuous Monitoring
  3. CM-4 - Security Impact Analysis
  4. PM-4 - Plan Of Action And Milestones Process
References
Enhancements
CA-5 (1) - Automation Support For Accuracy / Currency
The organization employs automated mechanisms to help ensure that the plan of action and milestones for the information system is accurate, up to date, and readily available.
SECURITY AUTHORIZATION
RMF Control
CA-6
Subject Area
SECURITY ASSESSMENT AND AUTHORIZATION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CA-6a.
Assigns a senior-level executive or manager as the authorizing official for the information system;
CA-6b.
Ensures that the authorizing official authorizes the information system for processing before commencing operations; and
CA-6c.
Updates the security authorization [Assignment: organization-defined frequency].
Supplemental Guidance
Security authorizations are official management decisions, conveyed through authorization decision documents, by senior organizational officials or executives (i.e., authorizing officials) to authorize operation of information systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security controls. Authorizing officials provide budgetary oversight for organizational information systems or assume responsibility for the mission/business operations supported by those systems. The security authorization process is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials assume responsibility and are accountable for security risks associated with the operation and use of organizational information systems. Accordingly, authorizing officials are in positions with levels of authority commensurate with understanding and accepting such information security-related risks. OMB policy requires that organizations conduct ongoing authorizations of information systems by implementing continuous monitoring programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so separate reauthorization processes are not necessary. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages (i.e., security plans, security assessment reports, and plans of action and milestones) is updated on an ongoing basis, providing authorizing officials and information system owners with an up-to-date status of the security state of organizational information systems and environments of operation. To reduce the administrative cost of security reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.
Assessment Procedures
CA-6.1 - CCI-000270
The organization assigns a senior-level executive or manager as the authorizing official for the information system.
CA-6.2 - CCI-000271
The organization ensures the authorizing official authorizes the information system for processing before commencing operations.
CA-6.4 - CCI-000273
The organization defines the frequency of updating the security authorization.
CA-6.3 - CCI-000272
The organization updates the security authorization on an organization-defined frequency.
Related Controls
  1. CA-2 - Security Assessments
  2. CA-7 - Continuous Monitoring
  3. PM-9 - Risk Management Strategy
  4. PM-10 - Security Authorization Process
References
Enhancements
CONTINUOUS MONITORING
RMF Control
CA-7
Subject Area
SECURITY ASSESSMENT AND AUTHORIZATION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes:
CA-7a.
Establishment of [Assignment: organization-defined metrics] to be monitored;
CA-7b.
Establishment of [Assignment: organization-defined frequencies] for monitoring and [Assignment: organization-defined frequencies] for assessments supporting such monitoring;
CA-7c.
Ongoing security control assessments in accordance with the organizational continuous monitoring strategy;
CA-7d.
Ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy;
CA-7e.
Correlation and analysis of security-related information generated by assessments and monitoring;
CA-7f.
Response actions to address results of the analysis of security-related information; and
CA-7g.
Reporting the security status of organization and the information system 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 to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess/analyze security controls and information security-related risks at a frequency sufficient to support organizational risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Continuous monitoring programs also allow organizations to maintain the security authorizations of information systems and common controls over time in highly dynamic environments of operation with changing mission/business needs, threats, vulnerabilities, and technologies. Having access to security-related information on a continuing basis through reports/dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing security authorization decisions. Automation supports more frequent updates to security authorization packages, hardware/software/firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of information systems.
Assessment Procedures
CA-7.1 - CCI-000274
The organization develops a continuous monitoring strategy.
CA-7.2 - CCI-002087
The organization establishes and defines the metrics to be monitored for the continuous monitoring program.
CA-7.3 - CCI-002088
The organization establishes and defines the frequencies for continuous monitoring.
CA-7.4 - CCI-002089
The organization establishes and defines the frequencies for assessments supporting continuous monitoring.
CA-7.5 - CCI-000279
The organization implements a continuous monitoring program that includes ongoing security control assessments in accordance with the organizational continuous monitoring strategy.
CA-7.6 - CCI-002090
The organization implements a continuous monitoring program that includes ongoing security status monitoring of organization-defined metrics in accordance with the organizational continuous monitoring strategy.
CA-7.7 - CCI-002091
The organization implements a continuous monitoring program that includes correlation and analysis of security-related information generated by assessments and monitoring.
CA-7.8 - CCI-002092
The organization implements a continuous monitoring program that includes response actions to address results of the analysis of security-related information.
CA-7.10 - CCI-000281
The organization defines the frequency to report the security status of organization and the information system to organization-defined personnel or roles.
CA-7.11 - CCI-001581
The organization defines personnel or roles to whom the security status of organization and the information system should be reported.
CA-7.9 - CCI-000280
The organization implements a continuous monitoring program that includes reporting the security status of organization and the information system to organization-defined personnel or roles on an organization-defined frequency.
Related Controls
  1. CA-2 - Security Assessments
  2. CA-5 - Plan Of Action And Milestones
  3. CA-6 - Security Authorization
  4. CM-3 - Configuration Change Control
  5. CM-4 - Security Impact Analysis
  6. PM-6 - Information Security Measures Of Performance
  7. PM-9 - Risk Management Strategy
  8. RA-5 - Vulnerability Scanning
  9. SA-11 - Developer Security Testing And Evaluation
  10. SA-12 - Supply Chain Protection
  11. SI-2 - Flaw Remediation
  12. SI-4 - Information System Monitoring
References
  1. OMB Memorandum 11-33, http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/m11-33.pdf
  2. NIST Special Publication 800-37, http://csrc.nist.gov/publications/PubsSPs.html#800-37
  3. NIST Special Publication 800-39, http://csrc.nist.gov/publications/PubsSPs.html#800-39
  4. NIST Special Publication 800-53A, http://csrc.nist.gov/publications/PubsSPs.html#800-53A
  5. NIST Special Publication 800-115, http://csrc.nist.gov/publications/PubsSPs.html#800-115
  6. NIST Special Publication 800-137, http://csrc.nist.gov/publications/PubsSPs.html#800-137
  7. US-CERT Technical Cyber Security Alerts, http://www.us-cert.gov/ncas/alerts
  8. DoD Information Assurance Vulnerability Alerts,
Enhancements
CA-7 (1) - Independent Assessment
The organization employs assessors or assessment teams with [Assignment: organization-defined level of independence] to monitor the security controls in the information system on an ongoing basis.
CA-7 (2) - Types Of Assessments
[Withdrawn: Incorporated into CA-2].
CA-7 (3) - Trend Analyses
The organization employs trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/or the types of activities used in the continuous monitoring process need to be modified based on empirical data.
PENETRATION TESTING
RMF Control
CA-8
Subject Area
SECURITY ASSESSMENT AND AUTHORIZATION
Baseline Areas
HIGH
Requirements
The organization conducts penetration testing [Assignment: organization-defined frequency] on [Assignment: organization-defined information systems or system components].
Supplemental Guidance
Penetration testing is a specialized type of assessment conducted on information systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Such testing can be used to either validate vulnerabilities or determine the degree of resistance organizational information systems have to adversaries within a set of specified constraints (e.g., time, resources, and/or skills). Penetration testing attempts to duplicate the actions of adversaries in carrying out hostile cyber attacks against organizations and provides a more in-depth analysis of security-related weaknesses/deficiencies. Organizations can also use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of an information system and can exercise both physical and technical security controls. A standard method for penetration testing includes, for example: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before the commencement of penetration testing scenarios. Organizations correlate the penetration testing rules of engagement with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Organizational risk assessments guide decisions on the level of independence required for personnel conducting penetration testing.
Assessment Procedures
CA-8.2 - CCI-002094
The organization defines the frequency for conducting penetration testing on organization-defined information systems or system components.
CA-8.3 - CCI-002095
The organization defines the information systems or system components on which penetration testing will be conducted.
CA-8.1 - CCI-002093
The organization conducts penetration testing in accordance with organization-defined frequency on organization-defined information systems or system components.
Related Controls
  1. SA-12 - Supply Chain Protection
Enhancements
CA-8 (1) - Independent Penetration Agent Or Team
The organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components.
CA-8 (2) - Red Team Exercises
The organization employs [Assignment: organization-defined red team exercises] to simulate attempts by adversaries to compromise organizational information systems in accordance with [Assignment: organization-defined rules of engagement].
INTERNAL SYSTEM CONNECTIONS
RMF Control
CA-9
Subject Area
SECURITY ASSESSMENT AND AUTHORIZATION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CA-9a.
Authorizes internal connections of [Assignment: organization-defined information system components or classes of components] to the information system; and
CA-9b.
Documents, for each internal connection, the interface characteristics, security requirements, and the nature of the information communicated.
Supplemental Guidance
This control applies to connections between organizational information systems and (separate) constituent system components (i.e., intra-system connections) including, for example, system connections with mobile devices, notebook/desktop computers, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal connection, organizations can authorize internal connections for a class of components with common characteristics and/or configurations, for example, all digital printers, scanners, and copiers with a specified processing, storage, and transmission capability or all smart phones with a specific baseline configuration.
Assessment Procedures
CA-9.1 - CCI-002101
The organization authorizes internal connections of organization-defined information system components or classes of components to the information system.
CA-9.2 - CCI-002102
The organization defines the information system components or classes of components that that are authorized internal connections to the information system.
CA-9.3 - CCI-002103
The organization documents, for each internal connection, the interface characteristics.
CA-9.4 - CCI-002104
The organization documents, for each internal connection, the security requirements.
CA-9.5 - CCI-002105
The organization documents, for each internal connection, the nature of the information communicated.
Related Controls
  1. AC-3 - Access Enforcement
  2. AC-4 - Information Flow Enforcement
  3. AC-18 - Wireless Access
  4. AC-19 - Access Control For Mobile Devices
  5. AU-2 - Audit Events
  6. AU-12 - Audit Generation
  7. CA-7 - Continuous Monitoring
  8. CM-2 - Baseline Configuration
  9. IA-3 - Device Identification And Authentication
  10. SC-7 - Boundary Protection
  11. SI-4 - Information System Monitoring
Enhancements
CA-9 (1) - Security Compliance Checks
The information system performs security compliance checks on constituent system components prior to the establishment of the internal connection.
CONFIGURATION MANAGEMENT POLICY AND PROCEDURES
RMF Control
CM-1
Subject Area
CONFIGURATION MANAGEMENT
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CM-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
CM-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
CM-1.1 - CCI-001821
The organization defines the organizational personnel or roles to whom the configuration management policy is to be disseminated.
CM-1.2 - CCI-001824
The organization defines the organizational personnel or roles to whom the configuration management procedures are to be disseminated.
CM-1.3 - CCI-000287
The organization develops and documents a configuration management policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
CM-1.4 - CCI-001822
The organization disseminates the configuration management policy to organization defined personnel or roles.
CM-1.5 - CCI-000290
The organization develops and documents procedures to facilitate the implementation of the configuration management policy and associated configuration management controls.
CM-1.6 - CCI-001825
The organization disseminates to organization defined personnel or roles the procedures to facilitate the implementation of the configuration management policy and associated configuration management controls.
CM-1.8 - CCI-000289
The organization reviews and updates, on an organization defined frequency, the configuration management policy.
CM-1.7 - CCI-000286
The organization defines a frequency to review and update the configuration management policies.
CM-1.9 - CCI-000292
The organization reviews and updates, on an organization defined frequency, the procedures to facilitate the implementation of the configuration management policy and associated configuration management controls.
CM-1.10 - CCI-001584
The organization defines the frequency to review and update configuration management procedures.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
BASELINE CONFIGURATION
RMF Control
CM-2
Subject Area
CONFIGURATION MANAGEMENT
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system.
Supplemental Guidance
This control establishes baseline configurations for information systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture.
Assessment Procedures
CM-2.1 - CCI-000293
The organization develops and documents a current baseline configuration of the information system.
CM-2.2 - CCI-000295
The organization maintains under configuration control, a current baseline configuration of the information system.
Related Controls
  1. CM-3 - Configuration Change Control
  2. CM-6 - Configuration Settings
  3. CM-8 - Information System Component Inventory
  4. CM-9 - Configuration Management Plan
  5. SA-10 - Developer Configuration Management
  6. PM-5 - Information System Inventory
  7. PM-7 - Enterprise Architecture
References
Enhancements
CM-2 (1) - Reviews And Updates
The organization reviews and updates the baseline configuration of the information system:
CM-2 (2) - Automation Support For Accuracy / Currency
The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system.
CM-2 (3) - Retention Of Previous Configurations
The organization retains [Assignment: organization-defined previous versions of baseline configurations of the information system] to support rollback.
CM-2 (4) - Unauthorized Software
[Withdrawn: Incorporated into CM-7].
CM-2 (5) - Authorized Software
[Withdrawn: Incorporated into CM-7].
CM-2 (6) - Development And Test Environments
The organization maintains a baseline configuration for information system development and test environments that is managed separately from the operational baseline configuration.
CM-2 (7) - Configure Systems, Components, Or Devices For High-Risk Areas
The organization:
CONFIGURATION CHANGE CONTROL
RMF Control
CM-3
Subject Area
CONFIGURATION MANAGEMENT
Baseline Areas
MODERATE, HIGH
Requirements
The organization:
CM-3a.
Determines the types of changes to the information system that are configuration-controlled;
CM-3b.
Reviews proposed configuration-controlled changes to the information system and approves or disapproves such changes with explicit consideration for security impact analyses;
CM-3c.
Documents configuration change decisions associated with the information system;
CM-3d.
Implements approved configuration-controlled changes to the information system;
CM-3e.
Retains records of configuration-controlled changes to the information system for [Assignment: organization-defined time period];
CM-3f.
Audits and reviews activities associated with configuration-controlled changes to the information system; and
CM-3g.
Coordinates and provides oversight for configuration change control activities through [Assignment: organization-defined configuration change control element (e.g., committee, board)] that convenes [Selection (one or more): [Assignment: organization-defined frequency]; [Assignment: organization-defined configuration change conditions]].
Supplemental Guidance
Configuration change controls for organizational information systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of information systems, changes to configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical processes for managing configuration changes to information systems include, for example, Configuration Control Boards that approve proposed changes to systems. For new development information systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards. Auditing of changes includes activities before and after changes are made to organizational information systems and the auditing activities required to implement such changes.
Assessment Procedures
CM-3.1 - CCI-000313
The organization determines the types of changes to the information system that are configuration controlled.
CM-3.3 - CCI-001740
The organization reviews proposed configuration controlled changes to the information system.
CM-3.2 - CCI-000314
The organization approves or disapproves configuration controlled changes to the information system with explicit consideration for security impact analysis.
CM-3.4 - CCI-001741
The organization documents configuration change decisions associated with the information system.
CM-3.5 - CCI-001819
The organization implements approved configuration-controlled changes to the information system.
CM-3.6 - CCI-000316
The organization retains records of configuration-controlled changes to the information system for an organization-defined time period.
CM-3.7 - CCI-002056
The organization defines the time period the record of configuration-controlled changes are to be retained.
CM-3.8 - CCI-000318
The organization audits and reviews activities associated with configuration controlled changes to the system.
CM-3.9 - CCI-000319
The organization coordinates and provides oversight for configuration change control activities through an organization defined configuration change control element (e.g., committee, board) that convenes at the organization defined frequency and/or for any organization defined configuration change conditions.
CM-3.10 - CCI-000320
The organization defines frequency to convene configuration change control element.
CM-3.11 - CCI-000321
The organization defines configuration change conditions that prompt the configuration change control element to convene.
CM-3.12 - CCI-001586
The organization defines the configuration change control element (e.g., committee, board) responsible for coordinating and providing oversight for configuration change control activities.
Related Controls
  1. CA-7 - Continuous Monitoring
  2. CM-2 - Baseline Configuration
  3. CM-4 - Security Impact Analysis
  4. CM-5 - Access Restrictions For Change
  5. CM-6 - Configuration Settings
  6. CM-9 - Configuration Management Plan
  7. SA-10 - Developer Configuration Management
  8. SI-2 - Flaw Remediation
  9. SI-12 - Information Handling And Retention
References
Enhancements
CM-3 (1) - Automated Document / Notification / Prohibition Of Changes
The organization employs automated mechanisms to:
CM-3 (2) - Test / Validate / Document Changes
The organization tests, validates, and documents changes to the information system before implementing the changes on the operational system.
CM-3 (3) - Automated Change Implementation
The organization employs automated mechanisms to implement changes to the current information system baseline and deploys the updated baseline across the installed base.
CM-3 (4) - Security Representative
The organization requires an information security representative to be a member of the [Assignment: organization-defined configuration change control element].
CM-3 (5) - Automated Security Response
The information system implements [Assignment: organization-defined security responses] automatically if baseline configurations are changed in an unauthorized manner.
CM-3 (6) - Cryptography Management
The organization ensures that cryptographic mechanisms used to provide [Assignment: organization-defined security safeguards] are under configuration management.
SECURITY IMPACT ANALYSIS
RMF Control
CM-4
Subject Area
CONFIGURATION MANAGEMENT
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization analyzes changes to the information system to determine potential security impacts prior to change implementation.
Supplemental Guidance
Organizational personnel with information security responsibilities (e.g., Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers) conduct security impact analyses. Individuals conducting security impact analyses possess the necessary skills/technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing security plans to understand security control requirements and reviewing system design documentation to understand control implementation and how specific changes might affect the controls. Security impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security controls are required. Security impact analyses are scaled in accordance with the security categories of the information systems.
Assessment Procedures
CM-4.1 - CCI-000333
The organization analyzes changes to the information system to determine potential security impacts prior to change implementation.
Related Controls
  1. CA-2 - Security Assessments
  2. CA-7 - Continuous Monitoring
  3. CM-3 - Configuration Change Control
  4. CM-9 - Configuration Management Plan
  5. SA-4 - Acquisition Process
  6. SA-5 - Information System Documentation
  7. SA-10 - Developer Configuration Management
  8. SI-2 - Flaw Remediation
References
Enhancements
CM-4 (1) - Separate Test Environments
The organization analyzes changes to the information system in a separate test environment before implementation in an operational environment, looking for security impacts due to flaws, weaknesses, incompatibility, or intentional malice.
CM-4 (2) - Verification Of Security Functions
The organization, after the information system is changed, checks the security functions to verify that the functions are implemented correctly, operating as intended, and producing the desired outcome with regard to meeting the security requirements for the system.
ACCESS RESTRICTIONS FOR CHANGE
RMF Control
CM-5
Subject Area
CONFIGURATION MANAGEMENT
Baseline Areas
MODERATE, HIGH
Requirements
The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system.
Supplemental Guidance
Any changes to the hardware, software, and/or firmware components of information systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access information systems for purposes of initiating changes, including upgrades and modifications. Organizations maintain records of access to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).
Assessment Procedures
CM-5.1 - CCI-000338
The organization defines physical access restrictions associated with changes to the information system.
CM-5.2 - CCI-000339
The organization documents physical access restrictions associated with changes to the information system.
CM-5.3 - CCI-000340
The organization approves physical access restrictions associated with changes to the information system.
CM-5.4 - CCI-000341
The organization enforces physical access restrictions associated with changes to the information system.
CM-5.5 - CCI-000342
The organization defines logical access restrictions associated with changes to the information system.
CM-5.6 - CCI-000343
The organization documents logical access restrictions associated with changes to the information system.
CM-5.7 - CCI-000344
The organization approves logical access restrictions associated with changes to the information system.
CM-5.8 - CCI-000345
The organization enforces logical access restrictions associated with changes to the information system.
Related Controls
  1. AC-3 - Access Enforcement
  2. AC-6 - Least Privilege
  3. PE-3 - Physical Access Control
Enhancements
CM-5 (1) - Automated Access Enforcement / Auditing
The information system enforces access restrictions and supports auditing of the enforcement actions.
CM-5 (2) - Review System Changes
The organization reviews information system changes [Assignment: organization-defined frequency] and [Assignment: organization-defined circumstances] to determine whether unauthorized changes have occurred.
CM-5 (3) - Signed Components
The information system prevents 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.
CM-5 (4) - Dual Authorization
The organization enforces dual authorization for implementing changes to [Assignment: organization-defined information system components and system-level information].
CM-5 (5) - Limit Production / Operational Privileges
The organization:
CM-5 (6) - Limit Library Privileges
The organization limits privileges to change software resident within software libraries.
CM-5 (7) - Automatic Implementation Of Security Safeguards
[Withdrawn: Incorporated into SI-7].
CONFIGURATION SETTINGS
RMF Control
CM-6
Subject Area
CONFIGURATION MANAGEMENT
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CM-6a.
Establishes and documents configuration settings for information technology products employed within the information system using [Assignment: organization-defined security configuration checklists] that reflect the most restrictive mode consistent with operational requirements;
CM-6b.
Implements the configuration settings;
CM-6c.
Identifies, documents, and approves any deviations from established configuration settings for [Assignment: organization-defined information system components] based on [Assignment: organization-defined operational requirements]; and
CM-6d.
Monitors and controls changes to the configuration settings in accordance with organizational policies and procedures.
Supplemental Guidance
Configuration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of the systems configuration baseline. Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the United States Government Configuration Baseline (USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems.
Assessment Procedures
CM-6.1 - CCI-000363
The organization defines security configuration checklists to be used to establish and document configuration settings for the information system technology products employed.
CM-6.2 - CCI-000364
The organization establishes configuration settings for information technology products employed within the information system using organization-defined security configuration checklists.
CM-6.3 - CCI-000365
The organization documents configuration settings for information technology products employed within the information system using organization-defined security configuration checklists that reflect the most restrictive mode consistent with operational requirements.
CM-6.4 - CCI-001588
The organization-defined security configuration checklists reflect the most restrictive mode consistent with operational requirements.
CM-6.5 - CCI-000366
The organization implements the security configuration settings.
CM-6.6 - CCI-000367
The organization identifies any deviations from the established configuration settings for organization-defined information system components based on organization-defined operational requirements.
CM-6.7 - CCI-000368
The organization documents any deviations from the established configuration settings for organization-defined information system components based on organization-defined operational requirements.
CM-6.8 - CCI-000369
The organization approves any deviations from the established configuration settings for organization-defined information system components based on organization-defined operational requirements.
CM-6.9 - CCI-001755
The organization defines the information system components for which any deviation from the established configuration settings are to be identified, documented and approved.
CM-6.10 - CCI-001756
The organization defines the operational requirements on which the configuration settings for the organization-defined information system components are to be based.
CM-6.11 - CCI-001502
The organization monitors changes to the configuration settings in accordance with organizational policies and procedures.
CM-6.12 - CCI-001503
The organization controls changes to the configuration settings in accordance with organizational policies and procedures.
Related Controls
  1. AC-19 - Access Control For Mobile Devices
  2. CM-2 - Baseline Configuration
  3. CM-3 - Configuration Change Control
  4. CM-7 - Least Functionality
  5. SI-4 - Information System Monitoring
References
Enhancements
CM-6 (1) - Automated Central Management / Application / Verification
The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings for [Assignment: organization-defined information system components].
CM-6 (2) - Respond To Unauthorized Changes
The organization employs [Assignment: organization-defined security safeguards] to respond to unauthorized changes to [Assignment: organization-defined configuration settings].
CM-6 (3) - Unauthorized Change Detection
[Withdrawn: Incorporated into SI-7].
CM-6 (4) - Conformance Demonstration
[Withdrawn: Incorporated into CM-4].
LEAST FUNCTIONALITY
RMF Control
CM-7
Subject Area
CONFIGURATION MANAGEMENT
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CM-7a.
Configures the information system to provide only essential capabilities; and
CM-7b.
Prohibits or restricts 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
Information systems can provide a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from single information system components, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email servers or web servers, but not both). Organizations review functions and services provided by information systems or individual components of information systems, to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing). Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services.
Assessment Procedures
CM-7.2 - CCI-000380
The organization defines for the information system prohibited or restricted functions, ports, protocols, and/or services.
CM-7.1 - CCI-000381
The organization configures the information system to provide only essential capabilities.
CM-7.3 - CCI-000382
The organization configures the information system to prohibit or restrict the use of organization-defined functions, ports, protocols, and/or services.
Related Controls
  1. AC-6 - Least Privilege
  2. CM-2 - Baseline Configuration
  3. RA-5 - Vulnerability Scanning
  4. SA-5 - Information System Documentation
  5. SC-7 - Boundary Protection
References
Enhancements
CM-7 (1) - Periodic Review
The organization:
CM-7 (2) - Prevent Program Execution
The information system prevents 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].
CM-7 (3) - Registration Compliance
The organization ensures compliance with [Assignment: organization-defined registration requirements for functions, ports, protocols, and services].
CM-7 (4) - Unauthorized Software / Blacklisting
The organization:
CM-7 (5) - Authorized Software / Whitelisting
The organization:
INFORMATION SYSTEM COMPONENT INVENTORY
RMF Control
CM-8
Subject Area
CONFIGURATION MANAGEMENT
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CM-8a.
Develops and documents an inventory of information system components that:
CM-8b.
Reviews and updates the information system component inventory [Assignment: organization-defined frequency].
Supplemental Guidance
Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include, for example, manufacturer, device type, model, serial number, and physical location.
Assessment Procedures
CM-8.1 - CCI-000389
The organization develops and documents an inventory of information system components that accurately reflects the current information system.
CM-8.2 - CCI-000392
The organization develops and documents an inventory of information system components that includes all components within the authorization boundary of the information system.
CM-8.3 - CCI-000395
The organization develops and documents an inventory of information system components that is at the level of granularity deemed necessary for tracking and reporting.
CM-8.4 - CCI-000398
The organization defines information deemed necessary to achieve effective information system component accountability.
CM-8.5 - CCI-000399
The organization develops and documents an inventory of information system components that includes organization defined information deemed necessary to achieve effective information system component accountability.
CM-8.6 - CCI-001779
The organization defines the frequency on which the information system component inventory is to be reviewed and updated
CM-8.7 - CCI-001780
The organization reviews and updates the information system component inventory per organization-defined frequency.
Related Controls
  1. CM-2 - Baseline Configuration
  2. CM-6 - Configuration Settings
  3. PM-5 - Information System Inventory
References
Enhancements
CM-8 (1) - Updates During Installations / Removals
The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates.
CM-8 (2) - Automated Maintenance
The organization employs automated mechanisms to help maintain an up-to-date, complete, accurate, and readily available inventory of information system components.
CM-8 (3) - Automated Unauthorized Component Detection
The organization:
CM-8 (4) - Accountability Information
The organization includes in the information system component inventory information, a means for identifying by [Selection (one or more): name; position; role], individuals responsible/accountable for administering those components.
CM-8 (5) - No Duplicate Accounting Of Components
The organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system component inventories.
CM-8 (6) - Assessed Configurations / Approved Deviations
The organization includes assessed component configurations and any approved deviations to current deployed configurations in the information system component inventory.
CM-8 (7) - Centralized Repository
The organization provides a centralized repository for the inventory of information system components.
CM-8 (8) - Automated Location Tracking
The organization employs automated mechanisms to support tracking of information system components by geographic location.
CM-8 (9) - Assignment Of Components To Systems
The organization:
CONFIGURATION MANAGEMENT PLAN
RMF Control
CM-9
Subject Area
CONFIGURATION MANAGEMENT
Baseline Areas
MODERATE, HIGH
Requirements
The organization develops, documents, and implements a configuration management plan for the information system that:
CM-9a.
Addresses roles, responsibilities, and configuration management processes and procedures;
CM-9b.
Establishes a process for identifying configuration items throughout the system development life cycle and for managing the configuration of the configuration items;
CM-9c.
Defines the configuration items for the information system and places the configuration items under configuration management; and
CM-9d.
Protects the configuration management plan from unauthorized disclosure and modification.
Supplemental Guidance
Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual information systems. Such plans define detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. Configuration management plans are typically developed during the development/acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baselines, how to maintain information system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization at large with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to information systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration-managed. As information systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control.
Assessment Procedures
CM-9.1 - CCI-000421
The organization develops and documents a configuration management plan for the information system that addresses roles, responsibilities, and configuration management processes and procedures.
CM-9.2 - CCI-000423
The organization implements a configuration management plan for the information system that addresses roles, responsibilities, and configuration management processes and procedures.
CM-9.7 - CCI-000424
The organization develops and documents a configuration management plan for the information system that defines the configuration items for the information system.
CM-9.8 - CCI-000426
The organization implements a configuration management plan for the information system that defines the configuration items for the information system.
CM-9.3 - CCI-001790
The organization develops and documents a configuration management plan for the information system that establishes a process for identifying configuration items throughout the system development life cycle.
CM-9.4 - CCI-001792
The organization implements a configuration management plan for the information system that establishes a process for identifying configuration items throughout the system development life cycle.
CM-9.5 - CCI-001793
The organization develops and documents a configuration management plan for the information system that establishes a process for managing the configuration of the configuration items.
CM-9.6 - CCI-001795
The organization implements a configuration management plan for the information system that establishes a process for managing the configuration of the configuration items.
CM-9.9 - CCI-001796
The organization develops and documents a configuration management plan for the information system that places the configuration items under configuration management.
CM-9.10 - CCI-001798
The organization implements a configuration management plan for the information system that places the configuration items under configuration management.
CM-9.11 - CCI-001799
The organization develops a configuration management plan for the information system that protects the configuration management plan from unauthorized disclosure and modification.
CM-9.12 - CCI-001801
The organization implements a configuration management plan for the information system that protects the configuration management plan from unauthorized disclosure and modification.
Related Controls
  1. CM-2 - Baseline Configuration
  2. CM-3 - Configuration Change Control
  3. CM-4 - Security Impact Analysis
  4. CM-5 - Access Restrictions For Change
  5. CM-8 - Information System Component Inventory
  6. SA-10 - Developer Configuration Management
References
Enhancements
CM-9 (1) - Assignment Of Responsibility
The organization assigns responsibility for developing the configuration management process to organizational personnel that are not directly involved in information system development.
SOFTWARE USAGE RESTRICTIONS
RMF Control
CM-10
Subject Area
CONFIGURATION MANAGEMENT
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CM-10a.
Uses software and associated documentation in accordance with contract agreements and copyright laws;
CM-10b.
Tracks the use of software and associated documentation protected by quantity licenses to control copying and distribution; and
CM-10c.
Controls and documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.
Supplemental Guidance
Software license tracking can be accomplished by manual methods (e.g., simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on organizational needs.
Assessment Procedures
CM-10.1 - CCI-001726
The organization uses software in accordance with contract agreements.
CM-10.2 - CCI-001727
The organization uses software documentation in accordance with contract agreements.
CM-10.3 - CCI-001728
The organization uses software in accordance with copyright laws.
CM-10.4 - CCI-001729
The organization uses software documentation in accordance with copyright laws.
CM-10.5 - CCI-001730
The organization tracks the use of software protected by quantity licenses to control copying of the software.
CM-10.7 - CCI-001802
The organization tracks the use of software documentation protected by quantity licenses to control copying of the software documentation.
CM-10.8 - CCI-001803
The organization tracks the use of software protected by quantity licenses to control distribution of the software.
CM-10.6 - CCI-001731
The organization tracks the use of software documentation protected by quantity licenses to control distribution of the software documentation.
CM-10.9 - CCI-001732
The organization controls 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.
CM-10.10 - CCI-001733
The organization documents the use of peer-to-peer file sharing technology to ensure that this capability is not used for the unauthorized distribution, display, performance, or reproduction of copyrighted work.
Related Controls
  1. AC-17 - Remote Access
  2. CM-8 - Information System Component Inventory
  3. SC-7 - Boundary Protection
Enhancements
CM-10 (1) - Open Source Software
The organization establishes the following restrictions on the use of open source software: [Assignment: organization-defined restrictions].
USER-INSTALLED SOFTWARE
RMF Control
CM-11
Subject Area
CONFIGURATION MANAGEMENT
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CM-11a.
Establishes [Assignment: organization-defined policies] governing the installation of software by users;
CM-11b.
Enforces software installation policies through [Assignment: organization-defined methods]; and
CM-11c.
Monitors policy compliance at [Assignment: organization-defined frequency].
Supplemental Guidance
If provided the necessary privileges, users have the ability to install software in organizational information systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved �app stores.� Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user accounts), automated methods (e.g., configuration settings implemented on organizational information systems), or both.
Assessment Procedures
CM-11.1 - CCI-001804
The organization defines the policies for governing the installation of software by users.
CM-11.2 - CCI-001805
The organization establishes organization-defined policies governing the installation of software by users.
CM-11.3 - CCI-001806
The organization defines methods to be employed to enforce the software installation policies.
CM-11.4 - CCI-001807
The organization enforces software installation policies through organization-defined methods.
CM-11.5 - CCI-001808
The organization defines the frequency on which it will monitor software installation policy compliance.
CM-11.6 - CCI-001809
The organization monitors software installation policy compliance per organization-defined frequency.
Related Controls
  1. AC-3 - Access Enforcement
  2. CM-2 - Baseline Configuration
  3. CM-3 - Configuration Change Control
  4. CM-5 - Access Restrictions For Change
  5. CM-6 - Configuration Settings
  6. CM-7 - Least Functionality
  7. PL-4 - Rules Of Behavior
Enhancements
CM-11 (1) - Alerts For Unauthorized Installations
The information system alerts [Assignment: organization-defined personnel or roles] when the unauthorized installation of software is detected.
CM-11 (2) - Prohibit Installation Without Privileged Status
The information system prohibits user installation of software without explicit privileged status.
CONTINGENCY PLANNING POLICY AND PROCEDURES
RMF Control
CP-1
Subject Area
CONTINGENCY PLANNING
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CP-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
CP-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
CP-1.3 - CCI-002825
The organization defines personnel or roles to whom the contingency planning policy is to be disseminated.
CP-1.1 - CCI-000438
The organization develops and documents a contingency planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
CP-1.2 - CCI-000439
The organization disseminates a contingency planning policy to organization-defined personnel or roles.
CP-1.6 - CCI-002826
The organization defines personnel or roles to whom the contingency planning procedures are disseminated.
CP-1.4 - CCI-000441
The organization develops and documents procedures to facilitate the implementation of the contingency planning policy and associated contingency planning controls.
CP-1.5 - CCI-001597
The organization disseminates contingency planning procedures to organization-defined personnel or roles.
CP-1.7 - CCI-000437
The organization defines the frequency to review and update the current contingency planning policy.
CP-1.8 - CCI-000440
The organization reviews and updates the current contingency planning policy in accordance with organization-defined frequency.
CP-1.9 - CCI-001596
The organization defines the frequency to review and update the current contingency planning procedures.
CP-1.10 - CCI-001598
The organization reviews and updates the current contingency planning procedures in accordance with the organization-defined frequency.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
CONTINGENCY PLAN
RMF Control
CP-2
Subject Area
CONTINGENCY PLANNING
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CP-2a.
Develops a contingency plan for the information system that:
CP-2b.
Distributes copies of the contingency plan to [Assignment: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements];
CP-2c.
Coordinates contingency planning activities with incident handling activities;
CP-2d.
Reviews the contingency plan for the information system [Assignment: organization-defined frequency];
CP-2e.
Updates the contingency plan to address changes to the organization, information system, or environment of operation and problems encountered during contingency plan implementation, execution, or testing;
CP-2f.
Communicates contingency plan changes to [Assignment: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements]; and
CP-2g.
Protects the contingency plan from unauthorized disclosure and modification.
Supplemental Guidance
Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. The effectiveness of contingency planning is maximized by considering such planning throughout the phases of the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving information system resiliency. Contingency plans reflect the degree of restoration required for organizational information systems since not all systems may need to fully recover to achieve the level of continuity of operations desired. Information system recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission and/or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of information systems. Actions addressed in contingency plans include, for example, orderly/graceful degradation, information system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By closely coordinating contingency planning with incident handling activities, organizations can ensure that the necessary contingency planning activities are in place and activated in the event of a security incident.
Assessment Procedures
CP-2.1 - CCI-000443
The organization develops a contingency plan for the information system that identifies essential missions.
CP-2.2 - CCI-000444
The organization develops a contingency plan for the information system that identifies essential business functions.
CP-2.3 - CCI-000445
The organization develops a contingency plan for the information system that identifies associated contingency requirements.
CP-2.4 - CCI-000446
The organization develops a contingency plan for the information system that provides recovery objectives.
CP-2.5 - CCI-000447
The organization develops a contingency plan for the information system that provides restoration priorities.
CP-2.6 - CCI-000448
The organization develops a contingency plan for the information system that provides metrics.
CP-2.7 - CCI-000449
The organization develops a contingency plan for the information system that addresses contingency roles, responsibilities, assigned individuals with contact information.
CP-2.8 - CCI-000450
The organization develops a contingency plan for the information system that addresses maintaining essential missions despite an information system disruption.
CP-2.9 - CCI-000451
The organization develops a contingency plan for the information system that addresses maintaining essential business functions despite an information system disruption.
CP-2.10 - CCI-000452
The organization develops a contingency plan for the information system that addresses maintaining essential missions despite an information system compromise.
CP-2.11 - CCI-000453
The organization develops a contingency plan for the information system that addresses maintaining essential business functions despite an information system compromise.
CP-2.12 - CCI-000454
The organization develops a contingency plan for the information system that addresses maintaining essential missions despite an information system failure.
CP-2.13 - CCI-000455
The organization develops a contingency plan for the information system that addresses maintaining essential business functions despite an information system failure.
CP-2.14 - CCI-000456
The organization develops a contingency plan for the information system that addresses eventual, full information system restoration without deterioration of the security safeguards originally planned and implemented.
CP-2.15 - CCI-000457
The organization develops a contingency plan for the information system that is reviewed and approved by organization-defined personnel or roles.
CP-2.17 - CCI-000458
The organization defines a list of key contingency personnel (identified by name and/or by role) and organizational elements designated to receive copies of the contingency plan.
CP-2.18 - CCI-000459
The organization distributes copies of the contingency plan to an organization-defined list of key contingency personnel (identified by name and/or by role) and organizational elements.
CP-2.19 - CCI-000460
The organization coordinates contingency planning activities with incident handling activities.
CP-2.20 - CCI-000461
The organization defines the frequency to review the contingency plan for the information system.
CP-2.21 - CCI-000462
The organization reviews the contingency plan for the information system in accordance with organization-defined frequency.
CP-2.22 - CCI-000463
The organization updates the contingency plan to address changes to the organization.
CP-2.23 - CCI-000464
The organization updates the contingency plan to address changes to the information system.
CP-2.24 - CCI-000465
The organization updates the contingency plan to address changes to the environment of operation.
CP-2.25 - CCI-000466
The organization updates the contingency plan to address problems encountered during contingency plan implementation, execution, or testing.
CP-2.26 - CCI-000468
The organization communicates contingency plan changes to organization-defined list of key contingency personnel (identified by name and/or by role) and organizational elements.
CP-2.16 - CCI-002830
The organization defines the personnel or roles who review and approve the contingency plan for the information system.
CP-2.27 - CCI-002831
The organization defines a list of key contingency personnel (identified by name and/or by role) and organizational elements to whom contingency plan changes are to be communicated.
CP-2.28 - CCI-002832
The organization protects the contingency plan from unauthorized disclosure and modification.
Related Controls
  1. AC-14 - Permitted Actions Without Identification Or Authentication
  2. CP-6 - Alternate Storage Site
  3. CP-7 - Alternate Processing Site
  4. CP-8 - Telecommunications Services
  5. CP-9 - Information System Backup
  6. CP-10 - Information System Recovery And Reconstitution
  7. IR-4 - Incident Handling
  8. IR-8 - Incident Response Plan
  9. MP-2 - Media Access
  10. MP-4 - Media Storage
  11. MP-5 - Media Transport
  12. PM-8 - Critical Infrastructure Plan
  13. PM-11 - Mission/Business Process Definition
References
Enhancements
CP-2 (1) - Coordinate With Related Plans
The organization coordinates contingency plan development with organizational elements responsible for related plans.
CP-2 (2) - Capacity Planning
The organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations.
CP-2 (3) - Resume Essential Missions / Business Functions
The organization plans for the resumption of essential missions and business functions within [Assignment: organization-defined time period] of contingency plan activation.
CP-2 (4) - Resume All Missions / Business Functions
The organization plans for the resumption of all missions and business functions within [Assignment: organization-defined time period] of contingency plan activation.
CP-2 (5) - Continue Essential Missions / Business Functions
The organization plans for the continuance of essential missions and business functions with little or no loss of operational continuity and sustains that continuity until full information system restoration at primary processing and/or storage sites.
CP-2 (6) - Alternate Processing / Storage Site
The organization plans for the transfer of essential missions and business functions to alternate processing and/or storage sites with little or no loss of operational continuity and sustains that continuity through information system restoration to primary processing and/or storage sites.
CP-2 (7) - Coordinate With External Service Providers
The organization coordinates its contingency plan with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.
CP-2 (8) - Identify Critical Assets
The organization identifies critical information system assets supporting essential missions and business functions.
CONTINGENCY TRAINING
RMF Control
CP-3
Subject Area
CONTINGENCY PLANNING
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization provides contingency training to information system users consistent with assigned roles and responsibilities:
CP-3a.
Within [Assignment: organization-defined time period] of assuming a contingency role or responsibility;
CP-3b.
When required by information system changes; and
CP-3c.
[Assignment: organization-defined frequency] thereafter.
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 information systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan.
Assessment Procedures
CP-3.2 - CCI-002833
The organization defines the time period that contingency training is to be provided to information system users consistent with assigned roles and responsibilities within assuming a contingency role or responsibility.
CP-3.1 - CCI-000486
The organization provides contingency training to information system users consistent with assigned roles and responsibilities within an organization-defined time period of assuming a contingency role or responsibility.
CP-3.3 - CCI-002834
The organization provides contingency training to information system users consistent with assigned roles and responsibilities when required by information system changes.
CP-3.4 - CCI-000485
The organization defines the frequency of refresher contingency training to information system users.
CP-3.5 - CCI-000487
The organization provides refresher contingency training to information system users consistent with assigned roles and responsibilities in accordance with organization-defined frequency.
Related Controls
  1. AT-2 - Security Awareness Training
  2. AT-3 - Role-Based Security Training
  3. CP-2 - Contingency Plan
  4. IR-2 - Incident Response Training
References
Enhancements
CP-3 (1) - Simulated Events
The organization incorporates simulated events into contingency training to facilitate effective response by personnel in crisis situations.
CP-3 (2) - Automated Training Environments
The organization employs automated mechanisms to provide a more thorough and realistic contingency training environment.
CONTINGENCY PLAN TESTING
RMF Control
CP-4
Subject Area
CONTINGENCY PLANNING
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CP-4a.
Tests the contingency plan for the information 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;
CP-4b.
Reviews the contingency plan test results; and
CP-4c.
Initiates corrective actions, if needed.
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.
Assessment Procedures
CP-4.1 - CCI-000490
The organization defines the frequency to test the contingency plan for the information system.
CP-4.2 - CCI-000492
The organization defines contingency plan tests to be conducted for the information system.
CP-4.3 - CCI-000494
The organization tests the contingency plan for the information system in accordance with organization-defined frequency using organization-defined tests to determine the effectiveness of the plan and the organizational readiness to execute the plan.
CP-4.4 - CCI-000496
The organization reviews the contingency plan test results.
CP-4.5 - CCI-000497
The organization initiates corrective actions, if needed, after reviewing the contingency plan test results.
Related Controls
  1. CP-2 - Contingency Plan
  2. CP-3 - Contingency Training
  3. IR-3 - Incident Response Testing
References
Enhancements
CP-4 (1) - Coordinate With Related Plans
The organization coordinates contingency plan testing with organizational elements responsible for related plans.
CP-4 (2) - Alternate Processing Site
The organization tests the contingency plan at the alternate processing site:
CP-4 (3) - Automated Testing
The organization employs automated mechanisms to more thoroughly and effectively test the contingency plan.
CP-4 (4) - Full Recovery / Reconstitution
The organization includes a full recovery and reconstitution of the information system to a known state as part of contingency plan testing.
CONTINGENCY PLAN UPDATE
RMF Control
CP-5
Subject Area
CONTINGENCY PLANNING
Baseline Areas
Requirements
[Withdrawn: Incorporated into CP-2].
Supplemental Guidance
Assessment Procedures
Related Controls
Enhancements
ALTERNATE STORAGE SITE
RMF Control
CP-6
Subject Area
CONTINGENCY PLANNING
Baseline Areas
MODERATE, HIGH
Requirements
The organization:
CP-6a.
Establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information; and
CP-6b.
Ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.
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 in the event that the primary storage site is not available. Items covered by alternate storage site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination of delivery/retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.
Assessment Procedures
CP-6.1 - CCI-000505
The organization establishes an alternate storage site including necessary agreements to permit the storage and retrieval of information system backup information.
CP-6.2 - CCI-002836
The organization ensures that the alternate storage site provides information security safeguards equivalent to that of the primary site.
Related Controls
  1. CP-2 - Contingency Plan
  2. CP-7 - Alternate Processing Site
  3. CP-9 - Information System Backup
  4. CP-10 - Information System Recovery And Reconstitution
  5. MP-4 - Media Storage
References
Enhancements
CP-6 (1) - Separation From Primary Site
The organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats.
CP-6 (2) - Recovery Time / Point Objectives
The organization configures the alternate storage site to facilitate recovery operations in accordance with recovery time and recovery point objectives.
CP-6 (3) - Accessibility
The organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
ALTERNATE PROCESSING SITE
RMF Control
CP-7
Subject Area
CONTINGENCY PLANNING
Baseline Areas
MODERATE, HIGH
Requirements
The organization:
CP-7a.
Establishes an alternate processing site including necessary agreements to permit the transfer and resumption of [Assignment: organization-defined information system operations] for essential missions/business functions within [Assignment: organization-defined time period consistent with recovery time and recovery point objectives] when the primary processing capabilities are unavailable;
CP-7b.
Ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site or contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption; and
CP-7c.
Ensures that the alternate processing site provides information security safeguards equivalent to those of the primary site.
Supplemental Guidance
Alternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability in the event that the primary processing site is not available. Items covered by alternate processing site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination for the transfer/assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.
Assessment Procedures
CP-7.1 - CCI-000510
The organization defines the time period consistent with recovery time and recovery point objectives for essential missions/business functions to permit the transfer and resumption of organization-defined information system operations at an alternate processing site when the primary processing capabilities are unavailable.
CP-7.2 - CCI-000513
The organization establishes an alternate processing site including necessary agreements to permit the transfer and resumption of organization-defined information system operations for essential missions within organization-defined time period consistent with recovery time and recovery point objectives when the primary processing capabilities are unavailable.
CP-7.3 - CCI-000514
The organization establishes an alternate processing site including necessary agreements to permit the transfer and resumption of organization-defined information system operations for essential business functions within organization-defined time period consistent with recovery time and recovery point objectives when the primary processing capabilities are unavailable.
CP-7.5 - CCI-000515
The organization ensures that equipment and supplies required to transfer and resume operations are available at the alternate processing site or contracts are in place to support delivery to the site within the organization-defined time period for transfer/resumption.
CP-7.6 - CCI-000521
The organization ensures that the alternate processing site provides information security safeguards equivalent to that of the primary site.
CP-7.4 - CCI-002839
The organization defines information system operations that are permitted to transfer and resume at an alternate processing sites for essential missions/business functions when the primary processing capabilities are unavailable.
Related Controls
  1. CP-2 - Contingency Plan
  2. CP-6 - Alternate Storage Site
  3. CP-8 - Telecommunications Services
  4. CP-9 - Information System Backup
  5. CP-10 - Information System Recovery And Reconstitution
  6. MA-6 - Timely Maintenance
References
Enhancements
CP-7 (1) - Separation From Primary Site
The organization identifies an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats.
CP-7 (2) - Accessibility
The organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions.
CP-7 (3) - Priority Of Service
The organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives).
CP-7 (4) - Preparation For Use
The organization prepares the alternate processing site so that the site is ready to be used as the operational site supporting essential missions and business functions.
CP-7 (5) - Equivalent Information Security Safeguards
[Withdrawn: Incorporated into CP-7].
CP-7 (6) - Inability To Return To Primary Site
The organization plans and prepares for circumstances that preclude returning to the primary processing site.
TELECOMMUNICATIONS SERVICES
RMF Control
CP-8
Subject Area
CONTINGENCY PLANNING
Baseline Areas
MODERATE, HIGH
Requirements
The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of [Assignment: organization-defined information 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/business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary/alternate sites. Alternate telecommunications services include, for example, additional organizational or commercial ground-based circuits/lines or satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.
Assessment Procedures
CP-8.1 - CCI-000522
The organization defines the time period to permit the resumption of organization-defined information system operations for essential missions when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.
CP-8.2 - CCI-000523
The organization defines the time period to permit the resumption of organization-defined information system operations for essential business functions when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.
CP-8.3 - CCI-000524
The organization establishes alternate telecommunication services including necessary agreements to permit the resumption of organization-defined information system operations for essential missions within organization-defined time period when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.
CP-8.4 - CCI-000525
The organization establishes alternate telecommunication services including necessary agreements to permit the resumption of organization-defined information system operations for essential business functions within organization-defined time period when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.
CP-8.5 - CCI-002840
The organization defines the information system operations to be resumed for essential missions within the organization-defined time period when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.
CP-8.6 - CCI-002841
The organization defines the information system operations to be resumed for essential business functions within the organization-defined time period when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites.
Related Controls
  1. CP-2 - Contingency Plan
  2. CP-6 - Alternate Storage Site
  3. CP-7 - Alternate Processing Site
References
  1. NIST Special Publication 800-34, http://csrc.nist.gov/publications/PubsSPs.html#800-34
  2. National Communications Systems Directive 3-10,
  3. http://www.dhs.gov/telecommunications-service-priority-tsp, http://www.dhs.gov/telecommunications-service-priority-tsp
Enhancements
CP-8 (1) - Priority Of Service Provisions
The organization:
CP-8 (2) - Single Points Of Failure
The organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services.
CP-8 (3) - Separation Of Primary / Alternate Providers
The organization obtains alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats.
CP-8 (4) - Provider Contingency Plan
The organization:
CP-8 (5) - Alternate Telecommunication Service Testing
The organization tests alternate telecommunication services [Assignment: organization-defined frequency].
INFORMATION SYSTEM BACKUP
RMF Control
CP-9
Subject Area
CONTINGENCY PLANNING
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
CP-9a.
Conducts backups of user-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
CP-9b.
Conducts backups of system-level information contained in the information system [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives];
CP-9c.
Conducts backups of information system documentation including security-related documentation [Assignment: organization-defined frequency consistent with recovery time and recovery point objectives]; and
CP-9d.
Protects the confidentiality, integrity, and availability of backup information at storage locations.
Supplemental Guidance
System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.
Assessment Procedures
CP-9.1 - CCI-000534
The organization defines frequency of conducting user-level information backups to support recovery time objectives and recovery point objectives.
CP-9.2 - CCI-000535
The organization conducts backups of user-level information contained in the information system per organization-defined frequency that is consistent with recovery time and recovery point objectives.
CP-9.3 - CCI-000536
The organization defines frequency of conducting system-level information backups to support recovery time objectives and recovery point objectives.
CP-9.4 - CCI-000537
The organization conducts backups of system-level information contained in the information system per organization-defined frequency that is consistent with recovery time and recovery point objectives.
CP-9.5 - CCI-000538
The organization defines the frequency of conducting information system documentation backups including security-related documentation to support recovery time objectives and recovery point objectives.
CP-9.6 - CCI-000539
The organization conducts backups of information system documentation including security-related documentation per organization-defined frequency that is consistent with recovery time and recovery point objectives.
CP-9.7 - CCI-000540
The organization protects the confidentiality, integrity, and availability of backup information at storage locations.
Related Controls
  1. CP-2 - Contingency Plan
  2. CP-6 - Alternate Storage Site
  3. MP-4 - Media Storage
  4. MP-5 - Media Transport
  5. SC-13 - Cryptographic Protection
References
Enhancements
CP-9 (1) - Testing For Reliability / Integrity
The organization tests backup information [Assignment: organization-defined frequency] to verify media reliability and information integrity.
CP-9 (2) - Test Restoration Using Sampling
The organization uses a sample of backup information in the restoration of selected information system functions as part of contingency plan testing.
CP-9 (3) - Separate Storage For Critical Information
The organization stores backup copies of [Assignment: organization-defined critical information system software and other security-related information] in a separate facility or in a fire-rated container that is not collocated with the operational system.
CP-9 (4) - Protection From Unauthorized Modification
[Withdrawn: Incorporated into CP-9].
CP-9 (5) - Transfer To Alternate Storage Site
The organization transfers information 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].
CP-9 (6) - Redundant Secondary System
The organization accomplishes information system backup by maintaining a redundant secondary system that is not collocated with the primary system and that can be activated without loss of information or disruption to operations.
CP-9 (7) - Dual Authorization
The organization enforces dual authorization for the deletion or destruction of [Assignment: organization-defined backup information].
INFORMATION SYSTEM RECOVERY AND RECONSTITUTION
RMF Control
CP-10
Subject Area
CONTINGENCY PLANNING
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure.
Supplemental Guidance
Recovery is executing information system contingency plan activities to restore organizational missions/business functions. Reconstitution takes place following recovery and includes activities for returning organizational information systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point/time and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim information system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored information system capabilities, reestablishment of continuous monitoring activities, potential information system reauthorizations, and activities to prepare the systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.
Assessment Procedures
CP-10.1 - CCI-000550
The organization provides for the recovery and reconstitution of the information system to a known state after a disruption.
CP-10.2 - CCI-000551
The organization provides for the recovery and reconstitution of the information system to a known state after a compromise.
CP-10.3 - CCI-000552
The organization provides for the recovery and reconstitution of the information system to a known state after a failure.
Related Controls
  1. CA-2 - Security Assessments
  2. CA-6 - Security Authorization
  3. CA-7 - Continuous Monitoring
  4. CP-2 - Contingency Plan
  5. CP-6 - Alternate Storage Site
  6. CP-7 - Alternate Processing Site
  7. CP-9 - Information System Backup
  8. SC-24 - Fail In Known State
References
Enhancements
CP-10 (1) - Contingency Plan Testing
[Withdrawn: Incorporated into CP-4].
CP-10 (2) - Transaction Recovery
The information system implements transaction recovery for systems that are transaction-based.
CP-10 (3) - Compensating Security Controls
[Withdrawn: Addressed through tailoring procedures].
CP-10 (4) - Restore Within Time Period
The organization provides the capability to restore information system components within [Assignment: organization-defined restoration time-periods] from configuration-controlled and integrity-protected information representing a known, operational state for the components.
CP-10 (5) - Failover Capability
[Withdrawn: Incorporated into SI-13].
CP-10 (6) - Component Protection
The organization protects backup and restoration hardware, firmware, and software.
ALTERNATE COMMUNICATIONS PROTOCOLS
RMF Control
CP-11
Subject Area
CONTINGENCY PLANNING
Baseline Areas
Requirements
The information system provides the capability to employ [Assignment: organization-defined alternative communications protocols] in support of maintaining continuity of operations.
Supplemental Guidance
Contingency plans and the associated training and testing for those plans, incorporate an alternate communications protocol capability as part of increasing the resilience of organizational information systems. Alternate communications protocols include, for example, switching from Transmission Control Protocol/Internet Protocol (TCP/IP) Version 4 to TCP/IP Version 6. Switching communications protocols may affect software applications and therefore, the potential side effects of introducing alternate communications protocols are analyzed prior to implementation.
Assessment Procedures
CP-11.1 - CCI-002853
The information system provides the capability to employ organization-defined alternative communications protocols in support of maintaining continuity of operations.
CP-11.2 - CCI-002854
The organization defines the alternative communications protocols the information systems must be capable of providing in support of maintaining continuity of operations.
Related Controls
Enhancements
SAFE MODE
RMF Control
CP-12
Subject Area
CONTINGENCY PLANNING
Baseline Areas
Requirements
The information system, when [Assignment: organization-defined conditions] are detected, enters a safe mode of operation with [Assignment: organization-defined restrictions of safe mode of operation].
Supplemental Guidance
For information systems supporting critical missions/business functions including, for example, military operations and weapons systems, civilian space operations, nuclear power plant operations, and air traffic control operations (especially real-time operational environments), organizations may choose to identify certain conditions under which those systems revert to a predefined safe mode of operation. The safe mode of operation, which can be activated automatically or manually, restricts the types of activities or operations information systems could execute when those conditions are encountered. Restriction includes, for example, allowing only certain functions that could be carried out under limited power or with reduced communications bandwidth.
Assessment Procedures
CP-12.1 - CCI-002855
The information system, when organization-defined conditions are detected, enters a safe mode of operation with organization-defined restrictions of safe mode of operation.
CP-12.2 - CCI-002856
The organization defines the conditions, that when detected, the information system enters a safe mode of operation with organization-defined restrictions of safe mode of operation.
CP-12.3 - CCI-002857
The organization defines the restrictions of safe mode of operation that the information system will enter when organization-defined conditions are detected.
Related Controls
Enhancements
ALTERNATIVE SECURITY MECHANISMS
RMF Control
CP-13
Subject Area
CONTINGENCY PLANNING
Baseline Areas
Requirements
The organization employs [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 information system resiliency and contingency planning/continuity of operations. To ensure mission/business continuity, organizations can implement alternative or supplemental security mechanisms. These mechanisms may be less effective than the primary mechanisms (e.g., not as easy to use, not as scalable, or not as secure). However, having the capability to readily employ these alternative/supplemental mechanisms enhances overall mission/business continuity that might otherwise be adversely impacted if organizational operations had to be curtailed until the primary means of implementing the functions was restored. Given the cost and level of effort required to provide such alternative capabilities, this control would typically be applied only to critical security capabilities provided by information systems, system components, or information system services. For example, an organization may issue to senior executives and system administrators one-time pads in case multifactor tokens, the organization�s standard means for secure remote authentication, is compromised.
Assessment Procedures
CP-13.1 - CCI-002858
The organization employs organization-defined alternative or supplemental security mechanisms for satisfying organization-defined security functions when the primary means of implementing the security function is unavailable or compromised.
CP-13.2 - CCI-002859
The organization defines the alternative or supplemental security mechanisms that will be employed for satisfying organization-defined security functions when the primary means of implementing the security function is unavailable or compromised.
CP-13.3 - CCI-002860
The organization defines the security functions that must be satisfied when the primary means of implementing the security function is unavailable or compromised.
Related Controls
  1. CP-2 - Contingency Plan
Enhancements
IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES
RMF Control
IA-1
Subject Area
IDENTIFICATION AND AUTHENTICATION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
IA-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
IA-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
IA-1.1 - CCI-001933
The organization defines the personnel or roles to be recipients of the identification and authentication policy and the procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls.
IA-1.2 - CCI-000756
The organization develops and documents an identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
IA-1.3 - CCI-000757
The organization disseminates to organization defined personnel or roles an identification and authentication policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
IA-1.4 - CCI-000760
The organization develops and documents procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls.
IA-1.5 - CCI-000761
The organization disseminates to organization-defined personnel or roles procedures to facilitate the implementation of the identification and authentication policy and associated identification and authentication controls.
IA-1.6 - CCI-000758
The organization reviews and updates identification and authentication policy in accordance with the organization defined frequency.
IA-1.7 - CCI-000759
The organization defines a frequency for reviewing and updating the identification and authentication policy.
IA-1.8 - CCI-000762
The organization reviews and updates identification and authentication procedures in accordance with the organization defined frequency.
IA-1.9 - CCI-000763
The organization defines a frequency for reviewing and updating the identification and authentication procedures.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
RMF Control
IA-2
Subject Area
IDENTIFICATION AND AUTHENTICATION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).
Supplemental Guidance
Organizational users include employees or individuals that organizations deem to have equivalent status of employees (e.g., contractors, guest researchers). This control applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC-14; and (ii) accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations employ passwords, tokens, or biometrics to authenticate user identities, or in the case multifactor authentication, or some combination thereof. Access to organizational information systems is defined as either local access or network access. Local access is any access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained by direct connections without the use of networks. Network access is access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks (e.g., the Internet). Internal networks include local area networks and wide area networks. In addition, the use of encrypted virtual private networks (VPNs) for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks from the perspective of protecting the confidentiality and integrity of information traversing the network. Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12 consistent with the specific organizational implementation plans. Multifactor authentication requires the use of two or more different factors to achieve authentication. The factors are defined as: (i) something you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g., cryptographic identification device, token); or (iii) something you are (e.g., biometric). Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card. In addition to identifying and authenticating users at the information system level (i.e., at logon), organizations also employ identification and authentication mechanisms at the application level, when necessary, to provide increased information security. Identification and authentication requirements for other than organizational users are described in IA-8.
Assessment Procedures
IA-2.1 - CCI-000764
The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users).
Related Controls
  1. AC-2 - Account Management
  2. AC-3 - Access Enforcement
  3. AC-14 - Permitted Actions Without Identification Or Authentication
  4. AC-17 - Remote Access
  5. AC-18 - Wireless Access
  6. IA-4 - Identifier Management
  7. IA-5 - Authenticator Management
  8. IA-8 - Identification And Authentication (Non-Organizational Users)
References
Enhancements
IA-2 (1) - Network Access To Privileged Accounts
The information system implements multifactor authentication for network access to privileged accounts.
IA-2 (2) - Network Access To Non-Privileged Accounts
The information system implements multifactor authentication for network access to non-privileged accounts.
IA-2 (3) - Local Access To Privileged Accounts
The information system implements multifactor authentication for local access to privileged accounts.
IA-2 (4) - Local Access To Non-Privileged Accounts
The information system implements multifactor authentication for local access to non-privileged accounts.
IA-2 (5) - Group Authentication
The organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed.
IA-2 (6) - Network Access To Privileged Accounts - Separate Device
The information system implements multifactor authentication for network access to privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets [Assignment: organization-defined strength of mechanism requirements].
IA-2 (7) - Network Access To Non-Privileged Accounts - Separate Device
The information system implements multifactor authentication for network access to non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets [Assignment: organization-defined strength of mechanism requirements].
IA-2 (8) - Network Access To Privileged Accounts - Replay Resistant
The information system implements replay-resistant authentication mechanisms for network access to privileged accounts.
IA-2 (9) - Network Access To Non-Privileged Accounts - Replay Resistant
The information system implements replay-resistant authentication mechanisms for network access to non-privileged accounts.
IA-2 (10) - Single Sign-On
The information system provides a single sign-on capability for [Assignment: organization-defined information system accounts and services].
IA-2 (11) - Remote Access - Separate Device
The information system implements multifactor authentication for remote access to privileged and non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets [Assignment: organization-defined strength of mechanism requirements].
IA-2 (12) - Acceptance Of Piv Credentials
The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials.
IA-2 (13) - Out-Of-Band Authentication
The information system implements [Assignment: organization-defined out-of-band authentication] under [Assignment: organization-defined conditions].
DEVICE IDENTIFICATION AND AUTHENTICATION
RMF Control
IA-3
Subject Area
IDENTIFICATION AND AUTHENTICATION
Baseline Areas
MODERATE, HIGH
Requirements
The information system uniquely identifies and authenticates [Assignment: organization-defined specific and/or types of devices] before establishing a [Selection (one or more): local; remote; network] connection.
Supplemental Guidance
Organizational devices requiring unique device-to-device identification and authentication may be defined by type, by device, or by a combination of type/device. Information systems typically use either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on local and/or wide area networks. Organizations determine the required strength of authentication mechanisms by the security categories of information systems. Because of the challenges of applying this control on large scale, organizations are encouraged to only apply the control to those limited number (and type) of devices that truly need to support this capability.
Assessment Procedures
IA-3.1 - CCI-000777
The organization defines a list of specific and/or types of devices for which identification and authentication is required before establishing a connection to the information system.
IA-3.2 - CCI-000778
The information system uniquely identifies an organization defined list of specific and/or types of devices before establishing a local, remote, or network connection.
IA-3.3 - CCI-001958
The information system authenticates an organization defined list of specific and/or types of devices before establishing a local, remote, or network connection.
Related Controls
  1. AC-17 - Remote Access
  2. AC-18 - Wireless Access
  3. AC-19 - Access Control For Mobile Devices
  4. CA-3 - System Interconnections
  5. IA-4 - Identifier Management
  6. IA-5 - Authenticator Management
Enhancements
IA-3 (1) - Cryptographic Bidirectional Authentication
The information system authenticates [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.
IA-3 (2) - Cryptographic Bidirectional Network Authentication
[Withdrawn: Incorporated into IA-3 (1)].
IA-3 (3) - Dynamic Address Allocation
The organization:
IA-3 (4) - Device Attestation
The organization ensures that device identification and authentication based on attestation is handled by [Assignment: organization-defined configuration management process].
IDENTIFIER MANAGEMENT
RMF Control
IA-4
Subject Area
IDENTIFICATION AND AUTHENTICATION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization manages information system identifiers by:
IA-4a.
Receiving authorization from [Assignment: organization-defined personnel or roles] to assign an individual, group, role, or device identifier;
IA-4b.
Selecting an identifier that identifies an individual, group, role, or device;
IA-4c.
Assigning the identifier to the intended individual, group, role, or device;
IA-4d.
Preventing reuse of identifiers for [Assignment: organization-defined time period]; and
IA-4e.
Disabling the identifier after [Assignment: organization-defined time period of inactivity].
Supplemental Guidance
Common device identifiers include, for example, media access control (MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). Typically, individual identifiers are the user names of the information system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. This control also addresses individual identifiers not necessarily associated with information system accounts (e.g., identifiers used in physical security control databases accessed by badge reader systems for access to information systems). Preventing reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.
Assessment Procedures
IA-4.1 - CCI-001970
The organization defines the personnel or roles that authorize the assignment of individual, group, role, and device identifiers.
IA-4.2 - CCI-001971
The organization manages information system identifiers by receiving authorization from organization-defined personnel or roles to assign an individual, group, role or device identifier.
IA-4.3 - CCI-001972
The organization manages information system identifiers by selecting an identifier that identifies an individual, group, role, or device.
IA-4.4 - CCI-001973
The organization manages information system identifiers by assigning the identifier to the intended individual, group, role, or device.
IA-4.5 - CCI-001974
The organization defines the time period for which the reuse of identifiers is prohibited.
IA-4.6 - CCI-001975
The organization manages information system identifiers by preventing reuse of identifiers for an organization-defined time period.
IA-4.7 - CCI-000794
The organization defines a time period of inactivity after which the identifier is disabled.
IA-4.8 - CCI-000795
The organization manages information system identifiers by disabling the identifier after an organization defined time period of inactivity.
Related Controls
  1. AC-2 - Account Management
  2. IA-2 - Identification And Authentication (Organizational Users)
  3. IA-3 - Device Identification And Authentication
  4. IA-5 - Authenticator Management
  5. IA-8 - Identification And Authentication (Non-Organizational Users)
  6. SC-37 - Out-Of-Band Channels
References
Enhancements
IA-4 (1) - Prohibit Account Identifiers As Public Identifiers
The organization prohibits the use of information system account identifiers that are the same as public identifiers for individual electronic mail accounts.
IA-4 (2) - Supervisor Authorization
The organization requires that the registration process to receive an individual identifier includes supervisor authorization.
IA-4 (3) - Multiple Forms Of Certification
The organization requires multiple forms of certification of individual identification be presented to the registration authority.
IA-4 (4) - Identify User Status
The organization manages individual identifiers by uniquely identifying each individual as [Assignment: organization-defined characteristic identifying individual status].
IA-4 (5) - Dynamic Management
The information system dynamically manages identifiers.
IA-4 (6) - Cross-Organization Management
The organization coordinates with [Assignment: organization-defined external organizations] for cross-organization management of identifiers.
IA-4 (7) - In-Person Registration
The organization requires that the registration process to receive an individual identifier be conducted in person before a designated registration authority.
AUTHENTICATOR MANAGEMENT
RMF Control
IA-5
Subject Area
IDENTIFICATION AND AUTHENTICATION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization manages information system authenticators by:
IA-5a.
Verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator;
IA-5b.
Establishing initial authenticator content for authenticators defined by the organization;
IA-5c.
Ensuring that authenticators have sufficient strength of mechanism for their intended use;
IA-5d.
Establishing and implementing administrative procedures for initial authenticator distribution, for lost/compromised or damaged authenticators, and for revoking authenticators;
IA-5e.
Changing default content of authenticators prior to information system installation;
IA-5f.
Establishing minimum and maximum lifetime restrictions and reuse conditions for authenticators;
IA-5g.
Changing/refreshing authenticators [Assignment: organization-defined time period by authenticator type];
IA-5h.
Protecting authenticator content from unauthorized disclosure and modification;
IA-5i.
Requiring individuals to take, and having devices implement, specific security safeguards to protect authenticators; and
IA-5j.
Changing authenticators for group/role accounts when membership to those accounts changes.
Supplemental Guidance
Individual authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). In many cases, developers ship information system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored within organizational information systems (e.g., passwords stored in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with administrator privileges). Information systems support individual authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Specific actions that can be taken to safeguard authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing individual authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords.
Assessment Procedures
IA-5.14 - CCI-000180
The organization manages information system authenticators by establishing maximum lifetime restrictions for authenticators.
IA-5.2 - CCI-000176
The organization manages information system authenticators by establishing initial authenticator content for authenticators defined by the organization.
IA-5.3 - CCI-001544
The organization manages information system authenticators by ensuring that authenticators have sufficient strength of mechanism for their intended use.
IA-5.7 - CCI-001984
The organization manages information system authenticators by establishing administrative procedures for revoking authenticators.
IA-5.15 - CCI-000181
The organization manages information system authenticators by establishing reuse conditions for authenticators.
IA-5.19 - CCI-000183
The organization manages information system authenticators by protecting authenticator content from unauthorized disclosure.
IA-5.8 - CCI-001985
The organization manages information system authenticators by implementing administrative procedures for initial authenticator distribution.
IA-5.9 - CCI-001986
The organization manages information system authenticators by implementing administrative procedures for lost/compromised authenticators.
IA-5.10 - CCI-001987
The organization manages information system authenticators by implementing administrative procedures for damaged authenticators.
IA-5(5).1 - CCI-001998
The organization manages information system authenticators by implementing administrative procedures for revoking authenticators.
IA-5.5 - CCI-001982
The organization manages information system authenticators by establishing administrative procedures for lost/compromised authenticators.
IA-5.12 - CCI-001989
The organization manages information system authenticators by changing default content of authenticators prior to information system installation.
IA-5.13 - CCI-000179
The organization manages information system authenticators by establishing minimum lifetime restrictions for authenticators.
IA-5.1 - CCI-001980
The organization manages information system authenticators by verifying, as part of the initial authenticator distribution, the identity of the individual, group, role, or device receiving the authenticator.
IA-5.4 - CCI-001981
The organization manages information system authenticators by establishing administrative procedures for initial authenticator distribution.
IA-5.16 - CCI-000182
The organization manages information system authenticators by changing/refreshing authenticators in accordance with the organization defined time period by authenticator type.
IA-5.17 - CCI-001610
The organization defines the time period (by authenticator type) for changing/refreshing authenticators.
IA-5.6 - CCI-001983
The organization manages information system authenticators by establishing administrative procedures for damaged authenticators.
IA-5.18 - CCI-002042
The organization manages information system authenticators by protecting authenticator content from unauthorized modification.
IA-5.21 - CCI-002366
The organization manages information system authenticators by having devices implement specific security safeguards to protect authenticators.
IA-5.20 - CCI-002365
The organization manages information system authenticators by requiring individuals to take specific security safeguards to protect authenticators.
IA-5.22 - CCI-001990
The organization manages information system authenticators by changing authenticators for group/role accounts when membership to those accounts changes.
Related Controls
  1. AC-2 - Account Management
  2. AC-3 - Access Enforcement
  3. AC-6 - Least Privilege
  4. CM-6 - Configuration Settings
  5. IA-2 - Identification And Authentication (Organizational Users)
  6. IA-4 - Identifier Management
  7. IA-8 - Identification And Authentication (Non-Organizational Users)
  8. PL-4 - Rules Of Behavior
  9. PS-5 - Personnel Transfer
  10. PS-6 - Access Agreements
  11. SC-12 - Cryptographic Key Establishment And Management
  12. SC-13 - Cryptographic Protection
  13. SC-17 - Public Key Infrastructure Certificates
  14. SC-28 - Protection Of Information At Rest
References
Enhancements
IA-5 (1) - Password-Based Authentication
The information system, for password-based authentication:
IA-5 (2) - Pki-Based Authentication
The information system, for PKI-based authentication:
IA-5 (3) - In-Person Or Trusted Third-Party Registration
The organization requires that the registration process to receive [Assignment: organization-defined types of and/or specific authenticators] be conducted [Selection: in person; by a trusted third party] before [Assignment: organization-defined registration authority] with authorization by [Assignment: organization-defined personnel or roles].
IA-5 (4) - Automated Support For Password Strength Determination
The organization employs automated tools to determine if password authenticators are sufficiently strong to satisfy [Assignment: organization-defined requirements].
IA-5 (5) - Change Authenticators Prior To Delivery
The organization requires developers/installers of information system components to provide unique authenticators or change default authenticators prior to delivery/installation.
IA-5 (6) - Protection Of Authenticators
The organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access.
IA-5 (7) - No Embedded Unencrypted Static Authenticators
The organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys.
IA-5 (8) - Multiple Information System Accounts
The organization implements [Assignment: organization-defined security safeguards] to manage the risk of compromise due to individuals having accounts on multiple information systems.
IA-5 (9) - Cross-Organization Credential Management
The organization coordinates with [Assignment: organization-defined external organizations] for cross-organization management of credentials.
IA-5 (10) - Dynamic Credential Association
The information system dynamically provisions identities.
IA-5 (11) - Hardware Token-Based Authentication
The information system, for hardware token-based authentication, employs mechanisms that satisfy [Assignment: organization-defined token quality requirements].
IA-5 (12) - Biometric-Based Authentication
The information system, for biometric-based authentication, employs mechanisms that satisfy [Assignment: organization-defined biometric quality requirements].
IA-5 (13) - Expiration Of Cached Authenticators
The information system prohibits the use of cached authenticators after [Assignment: organization-defined time period].
IA-5 (14) - Managing Content Of Pki Trust Stores
The organization, for PKI-based authentication, employs a deliberate organization-wide methodology for managing the content of PKI trust stores installed across all platforms including networks, operating systems, browsers, and applications.
IA-5 (15) - Ficam-Approved Products And Services
The organization uses only FICAM-approved path discovery and validation products and services.
AUTHENTICATOR FEEDBACK
RMF Control
IA-6
Subject Area
IDENTIFICATION AND AUTHENTICATION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.
Supplemental Guidance
The feedback from information systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of information systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (often referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be less significant, and may need to be balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is selected accordingly. Obscuring the feedback of authentication information includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.
Assessment Procedures
IA-6.1 - CCI-000206
The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals.
Related Controls
  1. PE-18 - Location Of Information System Components
Enhancements
CRYPTOGRAPHIC MODULE AUTHENTICATION
RMF Control
IA-7
Subject Area
IDENTIFICATION AND AUTHENTICATION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.
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.
Assessment Procedures
IA-7.1 - CCI-000803
The information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication.
Related Controls
  1. SC-12 - Cryptographic Key Establishment And Management
  2. SC-13 - Cryptographic Protection
References
  1. FIPS Publication 140, http://csrc.nist.gov/publications/PubsFIPS.html
  2. http://csrc.nist.gov/groups/STM/cmvp/index.html, http://csrc.nist.gov/groups/STM/cmvp/index.html
Enhancements
IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
RMF Control
IA-8
Subject Area
IDENTIFICATION AND AUTHENTICATION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).
Supplemental Guidance
Non-organizational users include information system users other than organizational users explicitly covered by IA-2. These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations use risk assessments to determine authentication needs and consider scalability, practicality, and security in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk. IA-2 addresses identification and authentication requirements for access to information systems by organizational users.
Assessment Procedures
IA-8.1 - CCI-000804
The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users).
Related Controls
  1. AC-2 - Account Management
  2. AC-14 - Permitted Actions Without Identification Or Authentication
  3. AC-17 - Remote Access
  4. AC-18 - Wireless Access
  5. IA-2 - Identification And Authentication (Organizational Users)
  6. IA-4 - Identifier Management
  7. IA-5 - Authenticator Management
  8. MA-4 - Nonlocal Maintenance
  9. RA-3 - Risk Assessment
  10. SA-12 - Supply Chain Protection
  11. SC-8 - Transmission Confidentiality And Integrity
References
Enhancements
IA-8 (1) - Acceptance Of Piv Credentials From Other Agencies
The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials from other federal agencies.
IA-8 (2) - Acceptance Of Third-Party Credentials
The information system accepts only FICAM-approved third-party credentials.
IA-8 (3) - Use Of Ficam-Approved Products
The organization employs only FICAM-approved information system components in [Assignment: organization-defined information systems] to accept third-party credentials.
IA-8 (4) - Use Of Ficam-Issued Profiles
The information system conforms to FICAM-issued profiles.
IA-8 (5) - Acceptance Of Piv-I Credentials
The information system accepts and electronically verifies Personal Identity Verification-I (PIV-I) credentials.
SERVICE IDENTIFICATION AND AUTHENTICATION
RMF Control
IA-9
Subject Area
IDENTIFICATION AND AUTHENTICATION
Baseline Areas
Requirements
The organization identifies and authenticates [Assignment: organization-defined information system services] using [Assignment: organization-defined security safeguards].
Supplemental Guidance
This control supports service-oriented architectures and other distributed architectural approaches requiring the identification and authentication of information system services. In such architectures, external services often appear dynamically. Therefore, information systems should be able to determine in a dynamic manner, if external providers and associated services are authentic. Safeguards implemented by organizational information systems to validate provider and service authenticity include, for example, information or code signing, provenance graphs, and/or electronic signatures indicating or including the sources of services.
Assessment Procedures
IA-9.1 - CCI-002017
The organization defines the information system services requiring identification.
IA-9.2 - CCI-002018
The organization defines the information system services requiring authentication.
IA-9.3 - CCI-002019
The organization defines the security safeguards to be used when identifying information system services.
IA-9.4 - CCI-002020
The organization defines the security safeguards to be used when authenticating information system services.
IA-9.5 - CCI-002021
The organization identifies organization-defined information system services using organization-defined security safeguards.
IA-9.6 - CCI-002022
The organization authenticates organization-defined information system services using organization-defined security safeguards.
Related Controls
Enhancements
IA-9 (1) - Information Exchange
The organization ensures that service providers receive, validate, and transmit identification and authentication information.
IA-9 (2) - Transmission Of Decisions
The organization ensures that identification and authentication decisions are transmitted between [Assignment: organization-defined services] consistent with organizational policies.
ADAPTIVE IDENTIFICATION AND AUTHENTICATION
RMF Control
IA-10
Subject Area
IDENTIFICATION AND AUTHENTICATION
Baseline Areas
Requirements
The organization requires that individuals accessing the information system 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/mechanisms and establish protocols to assess suspicious behavior (e.g., individuals accessing information that they do not typically access as part of their normal duties, roles, or responsibilities, accessing greater quantities of information than the individuals would routinely access, or attempting to access information from suspicious network addresses). In these situations when certain preestablished conditions or triggers occur, organizations can require selected individuals to provide additional authentication information. Another potential use for adaptive identification and authentication is to increase the strength of mechanism based on the number and/or types of records being accessed.
Assessment Procedures
IA-10.1 - CCI-002033
The organization defines the specific circumstances or situations when individuals accessing an information system employ organization-defined supplemental authentication techniques or mechanisms.
IA-10.2 - CCI-002034
The organization defines the supplemental authentication techniques or mechanisms to be employed in specific organization-defined circumstances or situations by individuals accessing the information system.
IA-10.3 - CCI-002035
The organization requires that individuals accessing the information system employ organization-defined supplemental authentication techniques or mechanisms under specific organization-defined circumstances or situations.
Related Controls
  1. AU-6 - Audit Review, Analysis, And Reporting
  2. SI-4 - Information System Monitoring
Enhancements
RE-AUTHENTICATION
RMF Control
IA-11
Subject Area
IDENTIFICATION AND AUTHENTICATION
Baseline Areas
Requirements
The organization requires users and devices to re-authenticate when [Assignment: organization-defined circumstances or situations requiring re-authentication].
Supplemental Guidance
In addition to the re-authentication requirements associated with session locks, organizations may require re-authentication of individuals and/or devices in other situations including, for example: (i) when authenticators change; (ii), when roles change; (iii) when security categories of information systems change; (iv), when the execution of privileged functions occurs; (v) after a fixed period of time; or (vi) periodically.
Assessment Procedures
IA-11.1 - CCI-002036
The organization defines the circumstances or situations when users will be required to reauthenticate.
IA-11.2 - CCI-002037
The organization defines the circumstances or situations when devices will be required to reauthenticate.
IA-11.3 - CCI-002038
The organization requires users to reauthenticate when organization-defined circumstances or situations requiring reauthentication.
IA-11.4 - CCI-002039
The organization requires devices to reauthenticate when organization-defined circumstances or situations requiring reauthentication.
Related Controls
  1. AC-11 - Session Lock
Enhancements
INCIDENT RESPONSE POLICY AND PROCEDURES
RMF Control
IR-1
Subject Area
INCIDENT RESPONSE
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
IR-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
IR-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
IR-1.1 - CCI-002776
The organization defines the personnel or roles to whom the incident response policy is disseminated.
IR-1.2 - CCI-002777
The organization defines the personnel or roles to whom the incident response procedures are disseminated.
IR-1.3 - CCI-000805
The organization develops and documents an incident response policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
IR-1.4 - CCI-000806
The organization disseminates an incident response policy to organization-defined personnel or roles.
IR-1.6 - CCI-000809
The organization develops and documents procedures to facilitate the implementation of the incident response policy and associated incident response controls.
IR-1.5 - CCI-000810
The organization disseminates incident response procedures to organization-defined personnel or roles.
IR-1.8 - CCI-000808
The organization defines the frequency to review and update the current incident response policy.
IR-1.7 - CCI-000807
The organization reviews and updates the current incident response policy in accordance with organization-defined frequency.
IR-1.10 - CCI-000812
The organization defines the frequency to review and update the current incident response procedures.
IR-1.9 - CCI-000811
The organization reviews and updates the current incident response procedures in accordance with organization-defined frequency.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
INCIDENT RESPONSE TRAINING
RMF Control
IR-2
Subject Area
INCIDENT RESPONSE
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization provides incident response training to information system users consistent with assigned roles and responsibilities:
IR-2a.
Within [Assignment: organization-defined time period] of assuming an incident response role or responsibility;
IR-2b.
When required by information system changes; and
IR-2c.
[Assignment: organization-defined frequency] thereafter.
Supplemental Guidance
Incident response training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, regular users may only need to know who to call or how to recognize an incident on the information system; system administrators may require additional training on how to handle/remediate incidents; and incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources.
Assessment Procedures
IR-2.2 - CCI-002778
The organization defines the time period in which information system users whom assume an incident response role or responsibility receive incident response training.
IR-2.1 - CCI-000813
The organization provides incident response training to information system users consistent with assigned roles and responsibilities within an organization-defined time period of assuming an incident response role or responsibility.
IR-2.5 - CCI-002779
The organization provides incident response training to information system users consistent with assigned roles and responsibilities when required by information system changes.
IR-2.3 - CCI-000814
The organization provides refresher incident response training in accordance with organization-defined frequency.
IR-2.4 - CCI-000815
The organization defines a frequency for refresher incident response training.
Related Controls
  1. AT-3 - Role-Based Security Training
  2. CP-3 - Contingency Training
  3. IR-8 - Incident Response Plan
References
Enhancements
IR-2 (1) - Simulated Events
The organization incorporates simulated events into incident response training to facilitate effective response by personnel in crisis situations.
IR-2 (2) - Automated Training Environments
The organization employs automated mechanisms to provide a more thorough and realistic incident response training environment.
INCIDENT RESPONSE TESTING
RMF Control
IR-3
Subject Area
INCIDENT RESPONSE
Baseline Areas
MODERATE, HIGH
Requirements
The organization tests the incident response capability for the information 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 (e.g., reduction in mission capabilities), organizational assets, and individuals due to incident response.
Assessment Procedures
IR-3.1 - CCI-000818
The organization tests the incident response capability for the information system on an organization-defined frequency using organization-defined tests to determine the incident response effectiveness.
IR-3.2 - CCI-000819
The organization defines a frequency for incident response tests.
IR-3.3 - CCI-000820
The organization defines tests for incident response.
IR-3.4 - CCI-001624
The organization documents the results of incident response tests.
Related Controls
  1. CP-4 - Contingency Plan Testing
  2. IR-8 - Incident Response Plan
References
Enhancements
IR-3 (1) - Automated Testing
The organization employs automated mechanisms to more thoroughly and effectively test the incident response capability.
IR-3 (2) - Coordination With Related Plans
The organization coordinates incident response testing with organizational elements responsible for related plans.
INCIDENT HANDLING
RMF Control
IR-4
Subject Area
INCIDENT RESPONSE
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
IR-4a.
Implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery;
IR-4b.
Coordinates incident handling activities with contingency planning activities; and
IR-4c.
Incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing, and implements the resulting changes accordingly.
Supplemental Guidance
Organizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).
Assessment Procedures
IR-4.1 - CCI-000822
The organization implements an incident handling capability for security incidents that includes preparation, detection and analysis, containment, eradication, and recovery.
IR-4.2 - CCI-000823
The organization coordinates incident handling activities with contingency planning activities.
IR-4.3 - CCI-000824
The organization incorporates lessons learned from ongoing incident handling activities into incident response procedures, training, and testing/exercises.
IR-4.4 - CCI-001625
The organization implements the resulting incident handling activity changes to incident response procedures, training and testing/exercise accordingly.
Related Controls
  1. AU-6 - Audit Review, Analysis, And Reporting
  2. CM-6 - Configuration Settings
  3. CP-2 - Contingency Plan
  4. CP-4 - Contingency Plan Testing
  5. IR-2 - Incident Response Training
  6. IR-3 - Incident Response Testing
  7. IR-8 - Incident Response Plan
  8. PE-6 - Monitoring Physical Access
  9. SC-5 - Denial Of Service Protection
  10. SC-7 - Boundary Protection
  11. SI-3 - Malicious Code Protection
  12. SI-4 - Information System Monitoring
  13. SI-7 - Software, Firmware, And Information Integrity
References
Enhancements
IR-4 (1) - Automated Incident Handling Processes
The organization employs automated mechanisms to support the incident handling process.
IR-4 (2) - Dynamic Reconfiguration
The organization includes dynamic reconfiguration of [Assignment: organization-defined information system components] as part of the incident response capability.
IR-4 (3) - Continuity Of Operations
The organization identifies [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.
IR-4 (4) - Information Correlation
The organization correlates incident information and individual incident responses to achieve an organization-wide perspective on incident awareness and response.
IR-4 (5) - Automatic Disabling Of Information System
The organization implements a configurable capability to automatically disable the information system if [Assignment: organization-defined security violations] are detected.
IR-4 (6) - Insider Threats - Specific Capabilities
The organization implements incident handling capability for insider threats.
IR-4 (7) - Insider Threats - Intra-Organization Coordination
The organization coordinates incident handling capability for insider threats across [Assignment: organization-defined components or elements of the organization].
IR-4 (8) - Correlation With External Organizations
The organization coordinates 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.
IR-4 (9) - Dynamic Response Capability
The organization employs [Assignment: organization-defined dynamic response capabilities] to effectively respond to security incidents.
IR-4 (10) - Supply Chain Coordination
The organization coordinates incident handling activities involving supply chain events with other organizations involved in the supply chain.
INCIDENT MONITORING
RMF Control
IR-5
Subject Area
INCIDENT RESPONSE
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization tracks and documents information system security incidents.
Supplemental Guidance
Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.
Assessment Procedures
IR-5.1 - CCI-000832
The organization tracks and documents information system security incidents.
Related Controls
  1. AU-6 - Audit Review, Analysis, And Reporting
  2. IR-8 - Incident Response Plan
  3. PE-6 - Monitoring Physical Access
  4. SC-5 - Denial Of Service Protection
  5. SC-7 - Boundary Protection
  6. SI-3 - Malicious Code Protection
  7. SI-4 - Information System Monitoring
  8. SI-7 - Software, Firmware, And Information Integrity
References
Enhancements
IR-5 (1) - Automated Tracking / Data Collection / Analysis
The organization employs automated mechanisms to assist in the tracking of security incidents and in the collection and analysis of incident information.
INCIDENT REPORTING
RMF Control
IR-6
Subject Area
INCIDENT RESPONSE
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
IR-6a.
Requires personnel to report suspected security incidents to the organizational incident response capability within [Assignment: organization-defined time period]; and
IR-6b.
Reports security 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 formal incident reporting requirements for federal agencies and their subordinate organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. The types of security incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling.
Assessment Procedures
IR-6.1 - CCI-000834
The organization defines a time period for personnel to report suspected security incidents to the organizational incident response capability.
IR-6.2 - CCI-000835
The organization requires personnel to report suspected security incidents to the organizational incident response capability within the organization-defined time period.
IR-6.3 - CCI-000836
The organization reports security incident information to organization-defined authorities.
IR-6.4 - CCI-002791
The organization defines authorities to whom security incident information is reported.
Related Controls
  1. IR-4 - Incident Handling
  2. IR-5 - Incident Monitoring
  3. IR-8 - Incident Response Plan
References
  1. NIST Special Publication 800-61, http://csrc.nist.gov/publications/PubsSPs.html#800-61
  2. http://www.us-cert.gov, http://www.us-cert.gov
Enhancements
IR-6 (1) - Automated Reporting
The organization employs automated mechanisms to assist in the reporting of security incidents.
IR-6 (2) - Vulnerabilities Related To Incidents
The organization reports information system vulnerabilities associated with reported security incidents to [Assignment: organization-defined personnel or roles].
IR-6 (3) - Coordination With Supply Chain
The organization provides security incident information to other organizations involved in the supply chain for information systems or information system components related to the incident.
INCIDENT RESPONSE ASSISTANCE
RMF Control
IR-7
Subject Area
INCIDENT RESPONSE
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization provides an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the information system for the handling and reporting of security incidents.
Supplemental Guidance
Incident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services, when required.
Assessment Procedures
IR-7.1 - CCI-000839
The organization provides an incident response support resource, integral to the organizational incident response capability, that offers advice and assistance to users of the information system for the handling and reporting of security incidents.
Related Controls
  1. AT-2 - Security Awareness Training
  2. IR-4 - Incident Handling
  3. IR-6 - Incident Reporting
  4. IR-8 - Incident Response Plan
  5. SA-9 - External Information System Services
Enhancements
IR-7 (1) - Automation Support For Availability Of Information / Support
The organization employs automated mechanisms to increase the availability of incident response-related information and support.
IR-7 (2) - Coordination With External Providers
The organization:
INCIDENT RESPONSE PLAN
RMF Control
IR-8
Subject Area
INCIDENT RESPONSE
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
IR-8a.
Develops an incident response plan that:
IR-8b.
Distributes copies of the incident response plan to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements];
IR-8c.
Reviews the incident response plan [Assignment: organization-defined frequency];
IR-8d.
Updates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing;
IR-8e.
Communicates incident response plan changes to [Assignment: organization-defined incident response personnel (identified by name and/or by role) and organizational elements]; and
IR-8f.
Protects the incident response plan from unauthorized disclosure and modification.
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 information systems.
Assessment Procedures
IR-8.1 - CCI-002794
The organization develops an incident response plan.
IR-8.2 - CCI-002795
The organization's incident response plan provides the organization with a roadmap for implementing its incident response capability.
IR-8.3 - CCI-002796
The organization's incident response plan describes the structure and organization of the incident response capability.
IR-8.4 - CCI-002797
The organization's incident response plan provides a high-level approach for how the incident response capability fits into the overall organization.
IR-8.5 - CCI-002798
The organization's incident response plan meets the unique requirements of the organization, which relate to mission, size, structure, and functions.
IR-8.6 - CCI-002799
The organization's incident response plan defines reportable incidents.
IR-8.7 - CCI-002800
The organization's incident response plan provides metrics for measuring the incident response capability within the organization.
IR-8.8 - CCI-002801
The organization's incident response plan defines the resources and management support needed to effectively maintain and mature an incident response capability.
IR-8.9 - CCI-002802
The organization defines personnel or roles to review and approve the incident response plan.
IR-8.10 - CCI-000844
The organization develops an incident response plan that is reviewed and approved by organization-defined personnel or roles.
IR-8.11 - CCI-000845
The organization defines incident response personnel (identified by name and/or by role) and organizational elements to whom copies of the incident response plan is distributed.
IR-8.12 - CCI-000846
The organization distributes copies of the incident response plan to organization-defined incident response personnel (identified by name and/or by role) and organizational elements.
IR-8.13 - CCI-000847
The organization defines the frequency for reviewing the incident response plan.
IR-8.14 - CCI-000848
The organization reviews the incident response plan on an organization-defined frequency.
IR-8.15 - CCI-000849
The organization updates the incident response plan to address system/organizational changes or problems encountered during plan implementation, execution, or testing.
IR-8.17 - CCI-002803
The organization defines incident response personnel (identified by name and/or by role) and organizational elements to whom the incident response plan changes will be communicated.
IR-8.16 - CCI-000850
The organization communicates incident response plan changes to organization-defined incident response personnel (identified by name and/or by role) and organizational elements.
IR-8.18 - CCI-002804
The organization protects the incident response plan from unauthorized disclosure and modification.
Related Controls
  1. MP-2 - Media Access
  2. MP-4 - Media Storage
  3. MP-5 - Media Transport
References
Enhancements
INFORMATION SPILLAGE RESPONSE
RMF Control
IR-9
Subject Area
INCIDENT RESPONSE
Baseline Areas
Requirements
The organization responds to information spills by:
IR-9a.
Identifying the specific information involved in the information system contamination;
IR-9b.
Alerting [Assignment: organization-defined personnel or roles] of the information spill using a method of communication not associated with the spill;
IR-9c.
Isolating the contaminated information system or system component;
IR-9d.
Eradicating the information from the contaminated information system or component;
IR-9e.
Identifying other information systems or system components that may have been subsequently contaminated; and
IR-9f.
Performing other [Assignment: organization-defined actions].
Supplemental Guidance
Information spillage refers to instances where either classified or sensitive information is inadvertently placed on information systems that are not authorized to process such information. Such information spills often occur when information that is initially thought to be of lower sensitivity is transmitted to an information system and then is subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information (e.g., security category or classification level), the security capabilities of the information system, the specific nature of contaminated storage media, and the access authorizations (e.g., security clearances) of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.
Assessment Procedures
IR-9.1 - CCI-002805
The organization responds to information spills by identifying the specific information involved in the information system contamination.
IR-9.2 - CCI-002806
The organization responds to information spills by alerting organization-defined personnel or roles of the information spill using a method of communication not associated with the spill.
IR-9.3 - CCI-002807
The organization defines personnel or roles to be alerted of the information spill using a method of communication not associated with the spill.
IR-9.4 - CCI-002808
The organization responds to information spills by isolating the contaminated information system or system component.
IR-9.5 - CCI-002809
The organization responds to information spills by eradicating the information from the contaminated information system or component.
IR-9.6 - CCI-002810
The organization responds to information spills by identifying other information systems or system components that may have been subsequently contaminated.
IR-9.7 - CCI-002811
The organization responds to information spills by performing other organization-defined actions.
IR-9.8 - CCI-002812
The organization defines other actions required to respond to information spills.
Related Controls
Enhancements
IR-9 (1) - Responsible Personnel
The organization assigns [Assignment: organization-defined personnel or roles] with responsibility for responding to information spills.
IR-9 (2) - Training
The organization provides information spillage response training [Assignment: organization-defined frequency].
IR-9 (3) - Post-Spill Operations
The organization implements [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.
IR-9 (4) - Exposure To Unauthorized Personnel
The organization employs [Assignment: organization-defined security safeguards] for personnel exposed to information not within assigned access authorizations.
INTEGRATED INFORMATION SECURITY ANALYSIS TEAM
RMF Control
IR-10
Subject Area
INCIDENT RESPONSE
Baseline Areas
Requirements
The organization establishes an integrated team of forensic/malicious code analysts, tool developers, and real-time operations personnel.
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 in order to implement defensive measures that will enable organizations to deter intrusions more effectively. Moreover, it promotes the rapid detection of intrusions, development of appropriate mitigations, and the deployment of effective defensive measures. For example, when an intrusion is detected, the integrated security analysis team can rapidly develop an appropriate response for operators to implement, correlate the new incident with information on past intrusions, and augment ongoing intelligence development. This enables the team to identify adversary TTPs that are linked to the operations tempo or to specific missions/business functions, and to define responsive actions in a way that does not disrupt the mission/business operations. Ideally, information security analysis teams are distributed within organizations to make the capability more resilient.
Assessment Procedures
IR-10.1 - CCI-002822
The organization establishes an integrated team of forensic/malicious code analysts, tool developers, and real-time operations personnel.
Related Controls
Enhancements
SYSTEM MAINTENANCE POLICY AND PROCEDURES
RMF Control
MA-1
Subject Area
MAINTENANCE
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
MA-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
MA-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
MA-1.1 - CCI-002861
The organization defines the personnel or roles to whom a system maintenance policy is disseminated.
MA-1.2 - CCI-002862
The organization defines the personnel or roles to whom system maintenance procedures are to be disseminated.
MA-1.3 - CCI-000852
The organization develops and documents a system maintenance policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
MA-1.4 - CCI-000853
The organization disseminates to organization-defined personnel or roles a system maintenance policy.
MA-1.5 - CCI-000855
The organization develops and documents procedures to facilitate the implementation of the system maintenance policy and associated system maintenance controls.
MA-1.6 - CCI-000856
The organization disseminates to organization-defined personnel or roles procedures to facilitate the implementation of the system maintenance policy and associated system maintenance controls.
MA-1.7 - CCI-000851
The organization defines the frequency to review and update the current system maintenance policy.
MA-1.8 - CCI-000854
The organization reviews and updates the current system maintenance policy in accordance with organization-defined frequency.
MA-1.10 - CCI-001628
The organization defines a frequency to review and update the current system maintenance procedures.
MA-1.9 - CCI-000857
The organization reviews and updates the current system maintenance procedures in accordance with organization-defined frequency.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
CONTROLLED MAINTENANCE
RMF Control
MA-2
Subject Area
MAINTENANCE
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
MA-2a.
Schedules, performs, documents, and reviews records of maintenance and repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements;
MA-2b.
Approves and monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location;
MA-2c.
Requires that [Assignment: organization-defined personnel or roles] explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs;
MA-2d.
Sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs;
MA-2e.
Checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions; and
MA-2f.
Includes [Assignment: organization-defined maintenance-related information] in organizational maintenance records.
Supplemental Guidance
This control addresses the information security aspects of the information system maintenance program and applies to all types of maintenance to any system component (including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, in-house, software maintenance agreement). System maintenance also includes those components not directly associated with information processing and/or data/information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example: (i) date and time of maintenance; (ii) name of individuals or group performing the maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed; and (v) information system components/equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational information systems. Organizations consider supply chain issues associated with replacement components for information systems.
Assessment Procedures
MA-2.5 - CCI-002870
The organization schedules repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements
MA-2.1 - CCI-002866
The organization schedules maintenance on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements.
MA-2.7 - CCI-002872
The organization documents repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements.
MA-2.3 - CCI-002868
The organization documents maintenance on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements.
MA-2.8 - CCI-002873
The organization reviews records of repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements.
MA-2.4 - CCI-002869
The organization reviews records of maintenance on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements.
MA-2.6 - CCI-002871
The organization performs repairs on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements.
MA-2.2 - CCI-002867
The organization performs maintenance on information system components in accordance with manufacturer or vendor specifications and/or organizational requirements.
MA-2.9 - CCI-000859
The organization approves and monitors all maintenance activities, whether performed on site or remotely and whether the equipment is serviced on site or removed to another location.
MA-2.11 - CCI-002874
The organization defines the personnel or roles who can explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs.
MA-2.10 - CCI-000860
The organization requires that organization-defined personnel or roles explicitly approve the removal of the information system or system components from organizational facilities for off-site maintenance or repairs.
MA-2.12 - CCI-000861
The organization sanitizes equipment to remove all information from associated media prior to removal from organizational facilities for off-site maintenance or repairs.
MA-2.13 - CCI-000862
The organization checks all potentially impacted security controls to verify that the controls are still functioning properly following maintenance or repair actions.
MA-2.15 - CCI-002876
The organization defines the maintenance-related information to include in organizational maintenance records.
MA-2.14 - CCI-002875
The organization includes organization-defined maintenance-related information in organizational maintenance records.
Related Controls
  1. CM-3 - Configuration Change Control
  2. CM-4 - Security Impact Analysis
  3. MA-4 - Nonlocal Maintenance
  4. MP-6 - Media Sanitization
  5. PE-16 - Delivery And Removal
  6. SA-12 - Supply Chain Protection
  7. SI-2 - Flaw Remediation
Enhancements
MA-2 (1) - Record Content
[Withdrawn: Incorporated into MA-2].
MA-2 (2) - Automated Maintenance Activities
The organization:
MAINTENANCE TOOLS
RMF Control
MA-3
Subject Area
MAINTENANCE
Baseline Areas
MODERATE, HIGH
Requirements
The organization approves, controls, and monitors information system maintenance tools.
Supplemental Guidance
This control addresses security-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into organizational information systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware/software packet sniffers. This control does not cover hardware/software components that may support information system maintenance, yet 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.
Assessment Procedures
MA-3.1 - CCI-000865
The organization approves information system maintenance tools.
MA-3.2 - CCI-000866
The organization controls information system maintenance tools.
MA-3.3 - CCI-000867
The organization monitors information system maintenance tools.
Related Controls
  1. MA-2 - Controlled Maintenance
  2. MA-5 - Maintenance Personnel
  3. MP-6 - Media Sanitization
References
Enhancements
MA-3 (1) - Inspect Tools
The organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications.
MA-3 (2) - Inspect Media
The organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system.
MA-3 (3) - Prevent Unauthorized Removal
The organization prevents the unauthorized removal of maintenance equipment containing organizational information by:
MA-3 (4) - Restricted Tool Use
The information system restricts the use of maintenance tools to authorized personnel only.
NONLOCAL MAINTENANCE
RMF Control
MA-4
Subject Area
MAINTENANCE
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
MA-4a.
Approves and monitors nonlocal maintenance and diagnostic activities;
MA-4b.
Allows the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system;
MA-4c.
Employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions;
MA-4d.
Maintains records for nonlocal maintenance and diagnostic activities; and
MA-4e.
Terminates session and network connections when nonlocal maintenance is completed.
Supplemental Guidance
Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Typically, strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.
Assessment Procedures
MA-4.1 - CCI-000873
The organization approves nonlocal maintenance and diagnostic activities.
MA-4.2 - CCI-000874
The organization monitors nonlocal maintenance and diagnostic activities.
MA-4.3 - CCI-000876
The organization allows the use of nonlocal maintenance and diagnostic tools only as consistent with organizational policy and documented in the security plan for the information system.
MA-4.4 - CCI-000877
The organization employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions.
MA-4.5 - CCI-000878
The organization maintains records for nonlocal maintenance and diagnostic activities.
MA-4.6 - CCI-000879
The organization terminates sessions and network connections when nonlocal maintenance is completed.
Related Controls
  1. AC-2 - Account Management
  2. AC-3 - Access Enforcement
  3. AC-6 - Least Privilege
  4. AC-17 - Remote Access
  5. AU-2 - Audit Events
  6. AU-3 - Content Of Audit Records
  7. IA-2 - Identification And Authentication (Organizational Users)
  8. IA-4 - Identifier Management
  9. IA-5 - Authenticator Management
  10. IA-8 - Identification And Authentication (Non-Organizational Users)
  11. MA-2 - Controlled Maintenance
  12. MA-5 - Maintenance Personnel
  13. MP-6 - Media Sanitization
  14. PL-2 - System Security Plan
  15. SC-7 - Boundary Protection
  16. SC-10 - Network Disconnect
  17. SC-17 - Public Key Infrastructure Certificates
References
Enhancements
MA-4 (1) - Auditing And Review
The organization:
MA-4 (2) - Document Nonlocal Maintenance
The organization documents in the security plan for the information system, the policies and procedures for the establishment and use of nonlocal maintenance and diagnostic connections.
MA-4 (3) - Comparable Security / Sanitization
The organization:
MA-4 (4) - Authentication / Separation Of Maintenance Sessions
The organization protects nonlocal maintenance sessions by:
MA-4 (5) - Approvals And Notifications
The organization:
MA-4 (6) - Cryptographic Protection
The information system implements cryptographic mechanisms to protect the integrity and confidentiality of nonlocal maintenance and diagnostic communications.
MA-4 (7) - Remote Disconnect Verification
The information system implements remote disconnect verification at the termination of nonlocal maintenance and diagnostic sessions.
MAINTENANCE PERSONNEL
RMF Control
MA-5
Subject Area
MAINTENANCE
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
MA-5a.
Establishes a process for maintenance personnel authorization and maintains a list of authorized maintenance organizations or personnel;
MA-5b.
Ensures that non-escorted personnel performing maintenance on the information system have required access authorizations; and
MA-5c.
Designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.
Supplemental Guidance
This control applies to individuals performing hardware or software maintenance on organizational information systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of supervising individuals relates to the maintenance performed on the information systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational information systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.
Assessment Procedures
MA-5.1 - CCI-000890
The organization establishes a process for maintenance personnel authorization.
MA-5.2 - CCI-000891
The organization maintains a list of authorized maintenance organizations or personnel.
MA-5.3 - CCI-002894
The organization ensures that non-escorted personnel performing maintenance on the information system have required access authorizations.
MA-5.4 - CCI-002895
The organization designates organizational personnel with required access authorizations and technical competence to supervise the maintenance activities of personnel who do not possess the required access authorizations.
Related Controls
  1. AC-2 - Account Management
  2. IA-8 - Identification And Authentication (Non-Organizational Users)
  3. MP-2 - Media Access
  4. PE-2 - Physical Access Authorizations
  5. PE-3 - Physical Access Control
  6. PE-4 - Access Control For Transmission Medium
  7. RA-3 - Risk Assessment
Enhancements
MA-5 (1) - Individuals Without Appropriate Access
The organization:
MA-5 (2) - Security Clearances For Classified Systems
The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information possess security clearances and formal access approvals for at least the highest classification level and for all compartments of information on the system.
MA-5 (3) - Citizenship Requirements For Classified Systems
The organization ensures that personnel performing maintenance and diagnostic activities on an information system processing, storing, or transmitting classified information are U.S. citizens.
MA-5 (4) - Foreign Nationals
The organization ensures that:
MA-5 (5) - Nonsystem-Related Maintenance
The organization ensures that non-escorted personnel performing maintenance activities not directly associated with the information system but in the physical proximity of the system, have required access authorizations.
TIMELY MAINTENANCE
RMF Control
MA-6
Subject Area
MAINTENANCE
Baseline Areas
MODERATE, HIGH
Requirements
The organization obtains maintenance support and/or spare parts for [Assignment: organization-defined information system components] within [Assignment: organization-defined time period] of failure.
Supplemental Guidance
Organizations specify the information system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support typically include having appropriate contracts in place.
Assessment Procedures
MA-6.1 - CCI-000903
The organization obtains maintenance support and/or spare parts for organization-defined information system components within an organization-defined time period of failure.
MA-6.2 - CCI-002896
The organization defines the information system components for which it obtains maintenance support and/or spare parts.
MA-6.3 - CCI-002897
The organization defines a time period for obtaining maintenance support and/or spare parts for organization-defined information system components after a failure.
Related Controls
  1. CM-8 - Information System Component Inventory
  2. CP-2 - Contingency Plan
  3. CP-7 - Alternate Processing Site
  4. SA-14 - Criticality Analysis
  5. SA-15 - Development Process, Standards, And Tools
Enhancements
MA-6 (1) - Preventive Maintenance
The organization performs preventive maintenance on [Assignment: organization-defined information system components] at [Assignment: organization-defined time intervals].
MA-6 (2) - Predictive Maintenance
The organization performs predictive maintenance on [Assignment: organization-defined information system components] at [Assignment: organization-defined time intervals].
MA-6 (3) - Automated Support For Predictive Maintenance
The organization employs automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system.
MEDIA PROTECTION POLICY AND PROCEDURES
RMF Control
MP-1
Subject Area
MEDIA PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
MP-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
MP-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
MP-1.3 - CCI-002566
The organization defines personnel or roles to whom a documented media protection policy and procedures will be disseminated.
MP-1.1 - CCI-000995
The organization develops and documents a media protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
MP-1.2 - CCI-000996
The organization disseminates to organization-defined personnel or roles a media protection policy.
MP-1.4 - CCI-000999
The organization develops and documents procedures to facilitate the implementation of the media protection policy and associated media protection controls.
MP-1.5 - CCI-001000
The organization disseminates to organization-defined personnel or roles procedures to facilitate the implementation of the media protection policy and associated media protection controls.
MP-1.7 - CCI-000998
The organization defines a frequency for reviewing and updating the current media protection policy.
MP-1.6 - CCI-000997
The organization reviews and updates the current media protection policy in accordance with organization-defined frequency.
MP-1.9 - CCI-001002
The organization defines a frequency for reviewing and updating the current media protection procedures.
MP-1.8 - CCI-001001
The organization reviews and updates the current media protection procedures in accordance with organization-defined frequency.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
MEDIA ACCESS
RMF Control
MP-2
Subject Area
MEDIA PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization restricts access to [Assignment: organization-defined types of digital and/or non-digital media] to [Assignment: organization-defined personnel or roles].
Supplemental Guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. 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.
Assessment Procedures
MP-2.1 - CCI-001003
The organization restricts access to organization-defined types of digital and/or non-digital media to organization-defined personnel or roles.
MP-2.2 - CCI-001004
The organization defines types of digital and/or non-digital media for which the organization restricts access.
MP-2.3 - CCI-001005
The organization defines personnel or roles to restrict access to organization-defined types of digital and/or non-digital media.
Related Controls
  1. AC-3 - Access Enforcement
  2. IA-2 - Identification And Authentication (Organizational Users)
  3. MP-4 - Media Storage
  4. PE-2 - Physical Access Authorizations
  5. PE-3 - Physical Access Control
  6. PL-2 - System Security Plan
References
Enhancements
MP-2 (1) - Automated Restricted Access
[Withdrawn: Incorporated into MP-4 (2)].
MP-2 (2) - Cryptographic Protection
[Withdrawn: Incorporated into SC-28 (1)].
MEDIA MARKING
RMF Control
MP-3
Subject Area
MEDIA PROTECTION
Baseline Areas
MODERATE, HIGH
Requirements
The organization:
MP-3a.
Marks information system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information; and
MP-3b.
Exempts [Assignment: organization-defined types of information system media] from marking as long as the media remain within [Assignment: organization-defined controlled areas].
Supplemental Guidance
The term security marking refers to the application/use of human-readable security attributes. The term security labeling refers to the application/use of security attributes with regard to internal data structures within information systems (see AC-16). Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of information system media reflects applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
Assessment Procedures
MP-3.1 - CCI-001010
The organization marks information system media indicating the distribution limitations, handling caveats, and applicable security markings (if any) of the information.
MP-3.2 - CCI-001011
The organization exempts organization-defined types of information system media from marking as long as the media remain within organization-defined controlled areas.
MP-3.3 - CCI-001012
The organization defines types of information system media to exempt from marking as long as the media remain within organization-defined controlled areas.
MP-3.4 - CCI-001013
The organization defines controlled areas where organization-defined types of information system media are exempt from being marked.
Related Controls
  1. AC-16 - Security Attributes
  2. PL-2 - System Security Plan
  3. RA-3 - Risk Assessment
References
Enhancements
MEDIA STORAGE
RMF Control
MP-4
Subject Area
MEDIA PROTECTION
Baseline Areas
MODERATE, HIGH
Requirements
The organization:
MP-4a.
Physically controls and securely stores [Assignment: organization-defined types of digital and/or non-digital media] within [Assignment: organization-defined controlled areas]; and
MP-4b.
Protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.
Supplemental Guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling information system media includes, for example, conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the media library, and maintaining accountability for all stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet, or a controlled media library. The type of media storage is commensurate with the security category and/or classification of the information residing on the media. Controlled areas are areas for which organizations provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and/or information systems. For media containing information determined by organizations to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on organizations or individuals if accessed by other than authorized personnel, fewer safeguards may be needed. In these situations, physical access controls provide adequate protection.
Assessment Procedures
MP-4.1 - CCI-001014
The organization physically controls and securely stores organization-defined types of digital and/or non-digital media within organization-defined controlled areas.
MP-4.2 - CCI-001015
The organization defines types of digital and/or non-digital media to physically control and securely store within organization-defined controlled areas.
MP-4.3 - CCI-001016
The organization defines controlled areas where organization-defined types of digital and/or non-digital media are physically controlled and securely stored.
MP-4.4 - CCI-001018
The organization protects information system media until the media are destroyed or sanitized using approved equipment, techniques, and procedures.
Related Controls
  1. CP-6 - Alternate Storage Site
  2. CP-9 - Information System Backup
  3. MP-2 - Media Access
  4. MP-7 - Media Use
  5. PE-3 - Physical Access Control
References
Enhancements
MP-4 (1) - Cryptographic Protection
[Withdrawn: Incorporated into SC-28 (1)].
MP-4 (2) - Automated Restricted Access
The organization employs automated mechanisms to restrict access to media storage areas and to audit access attempts and access granted.
MEDIA TRANSPORT
RMF Control
MP-5
Subject Area
MEDIA PROTECTION
Baseline Areas
MODERATE, HIGH
Requirements
The organization:
MP-5a.
Protects and controls [Assignment: organization-defined types of information system media] during transport outside of controlled areas using [Assignment: organization-defined security safeguards];
MP-5b.
Maintains accountability for information system media during transport outside of controlled areas;
MP-5c.
Documents activities associated with the transport of information system media; and
MP-5d.
Restricts the activities associated with the transport of information system media to authorized personnel.
Supplemental Guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers), that are transported outside of controlled areas. Controlled areas are areas or spaces for which organizations provide sufficient physical and/or procedural safeguards to meet the requirements established for protecting information and/or information systems. Physical and technical safeguards for media are commensurate with the security category or classification of the information residing on the media. Safeguards to protect media during transport include, for example, locked containers and cryptography. Cryptographic mechanisms can provide confidentiality and integrity protections depending upon the mechanisms used. Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel, and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records.
Assessment Procedures
MP-5.1 - CCI-001020
The organization protects and controls organization-defined types of information system media during transport outside of controlled areas using organization-defined security safeguards.
MP-5.2 - CCI-001021
The organization defines types of information system media protected and controlled during transport outside of controlled areas.
MP-5.3 - CCI-001022
The organization defines security safeguards to be used to protect and control organization-defined types of information system media during transport outside of controlled areas.
MP-5.4 - CCI-001023
The organization maintains accountability for information system media during transport outside of controlled areas.
MP-5.6 - CCI-001024
The organization restricts the activities associated with the transport of information system media to authorized personnel.
MP-5.5 - CCI-001025
The organization documents activities associated with the transport of information system media.
Related Controls
  1. AC-19 - Access Control For Mobile Devices
  2. CP-9 - Information System Backup
  3. MP-3 - Media Marking
  4. MP-4 - Media Storage
  5. RA-3 - Risk Assessment
  6. SC-8 - Transmission Confidentiality And Integrity
  7. SC-13 - Cryptographic Protection
  8. SC-28 - Protection Of Information At Rest
References
Enhancements
MP-5 (1) - Protection Outside Of Controlled Areas
[Withdrawn: Incorporated into MP-5].
MP-5 (2) - Documentation Of Activities
[Withdrawn: Incorporated into MP-5].
MP-5 (3) - Custodians
The organization employs an identified custodian during transport of information system media outside of controlled areas.
MP-5 (4) - Cryptographic Protection
The information system implements cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.
MEDIA SANITIZATION
RMF Control
MP-6
Subject Area
MEDIA PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
MP-6a.
Sanitizes [Assignment: organization-defined information system media] prior to disposal, release out of organizational control, or release for reuse using [Assignment: organization-defined sanitization techniques and procedures] in accordance with applicable federal and organizational standards and policies; and
MP-6b.
Employs sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.
Supplemental Guidance
This control applies to all information system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include media found in scanners, copiers, printers, notebook computers, workstations, network components, and mobile devices. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media containing classified information.
Assessment Procedures
MP-6.1 - CCI-001028
The organization sanitizes organization-defined information system media prior to disposal, release out of organizational control, or release for reuse using organization-defined sanitization techniques and procedures in accordance with applicable federal and organizational standards and policies.
MP-6.2 - CCI-002578
The organization defines information system media to sanitize prior to disposal, release out of organizational control, or release for reuse using organization-defined sanitization techniques and procedures in accordance with applicable federal and organizational standards and policies.
MP-6.3 - CCI-002579
The organization defines the sanitization techniques and procedures in accordance with applicable federal and organization standards and policies to be used to sanitize organization-defined information system media prior to disposal, release out of organizational control, or release for reuse.
MP-6.4 - CCI-002580
The organization employs sanitization mechanisms with the strength and integrity commensurate with the security category or classification of the information.
Related Controls
  1. MA-2 - Controlled Maintenance
  2. MA-4 - Nonlocal Maintenance
  3. RA-3 - Risk Assessment
  4. SC-4 - Information In Shared Resources
References
  1. FIPS Publication 199, http://csrc.nist.gov/publications/PubsFIPS.html#199
  2. NIST Special Publication 800-60, http://csrc.nist.gov/publications/PubsSPs.html#800-60
  3. NIST Special Publication 800-88, http://csrc.nist.gov/publications/PubsSPs.html#800-88
  4. http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml, http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml
Enhancements
MP-6 (1) - Review / Approve / Track / Document / Verify
The organization reviews, approves, tracks, documents, and verifies media sanitization and disposal actions.
MP-6 (2) - Equipment Testing
The organization tests sanitization equipment and procedures [Assignment: organization-defined frequency] to verify that the intended sanitization is being achieved.
MP-6 (3) - Nondestructive Techniques
The organization applies nondestructive sanitization techniques to portable storage devices prior to connecting such devices to the information system under the following circumstances: [Assignment: organization-defined circumstances requiring sanitization of portable storage devices].
MP-6 (4) - Controlled Unclassified Information
[Withdrawn: Incorporated into MP-6].
MP-6 (5) - Classified Information
[Withdrawn: Incorporated into MP-6].
MP-6 (6) - Media Destruction
[Withdrawn: Incorporated into MP-6].
MP-6 (7) - Dual Authorization
The organization enforces dual authorization for the sanitization of [Assignment: organization-defined information system media].
MP-6 (8) - Remote Purging / Wiping Of Information
The organization provides the capability to purge/wipe information from [Assignment: organization-defined information systems, system components, or devices] either remotely or under the following conditions: [Assignment: organization-defined conditions].
MEDIA USE
RMF Control
MP-7
Subject Area
MEDIA PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization [Selection: restricts; prohibits] the use of [Assignment: organization-defined types of information system media] on [Assignment: organization-defined information systems or system components] using [Assignment: organization-defined security safeguards].
Supplemental Guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on information systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict the use of information system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices.
Assessment Procedures
MP-7.1 - CCI-002581
The organization defines the types of information system media to restrict or prohibit on organization-defined information systems or system components using organization-defined security safeguards.
MP-7.2 - CCI-002582
The organization defines the information systems or system components to restrict or prohibit the use of organization-defined types of information system media using organization-defined security safeguards.
MP-7.3 - CCI-002583
The organization defines the security safeguards to use for restricting or prohibiting the use of organization-defined types of information system media on organization-defined information systems or system components.
MP-7.4 - CCI-002584
The organization restricts or prohibits the use of organization-defined types of information system media on organization-defined information systems or system components using organization-defined security safeguards.
Related Controls
  1. AC-19 - Access Control For Mobile Devices
  2. PL-4 - Rules Of Behavior
References
Enhancements
MP-7 (1) - Prohibit Use Without Owner
The organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner.
MP-7 (2) - Prohibit Use Of Sanitization-Resistant Media
The organization prohibits the use of sanitization-resistant media in organizational information systems.
MEDIA DOWNGRADING
RMF Control
MP-8
Subject Area
MEDIA PROTECTION
Baseline Areas
Requirements
The organization:
MP-8a.
Establishes [Assignment: organization-defined information system media downgrading process] that includes employing downgrading mechanisms with [Assignment: organization-defined strength and integrity];
MP-8b.
Ensures that the information system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information;
MP-8c.
Identifies [Assignment: organization-defined information system media requiring downgrading]; and
MP-8d.
Downgrades the identified information system media using the established process.
Supplemental Guidance
This control applies to all information system media, digital and non-digital, subject to release outside of the organization, whether or not the media is considered removable. The downgrading process, when applied to system media, removes information from the media, typically by security category or classification level, such that the information cannot be retrieved or reconstructed. Downgrading of media includes redacting information to enable wider release and distribution. Downgrading of media also ensures that empty space on the media (e.g., slack space within files) is devoid of information.
Assessment Procedures
MP-8.5 - CCI-002600
The organization downgrades the identified information system media using the established process.
MP-8.1 - CCI-002596
The organization establishes and defines an information system media downgrading process that includes employing downgrading mechanisms with organization-defined strength and integrity.
MP-8.2 - CCI-002597
The organization defines strength and integrity for downgrading mechanisms to establish an organization-defined information system media downgrading process.
MP-8.3 - CCI-002598
The organization ensures that the information system media downgrading process is commensurate with the security category and/or classification level of the information to be removed and the access authorizations of the potential recipients of the downgraded information
MP-8.4 - CCI-002599
The organization defines and identifies the information system media requiring downgrading.
Related Controls
Enhancements
MP-8 (1) - Documentation Of Process
The organization documents information system media downgrading actions.
MP-8 (2) - Equipment Testing
The organization employs [Assignment: organization-defined tests] of downgrading equipment and procedures to verify correct performance [Assignment: organization-defined frequency].
MP-8 (3) - Controlled Unclassified Information
The organization downgrades information system media containing [Assignment: organization-defined Controlled Unclassified Information (CUI)] prior to public release in accordance with applicable federal and organizational standards and policies.
MP-8 (4) - Classified Information
The organization downgrades information system media containing classified information prior to release to individuals without required access authorizations in accordance with NSA standards and policies.
PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES
RMF Control
PE-1
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PE-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
PE-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
PE-1.1 - CCI-002908
The organization defines the personnel or roles to whom a physical and environmental protection policy is disseminated.
PE-1.2 - CCI-002909
The organization defines the personnel or roles to whom the physical and environmental protection procedures are disseminated.
PE-1.3 - CCI-000904
The organization develops and documents a physical and environment protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
PE-1.4 - CCI-000905
The organization disseminates a physical and environmental protection policy to organization-defined personnel or roles.
PE-1.5 - CCI-000908
The organization develops and documents procedures to facilitate the implementation of the physical and environmental protection policy and associated physical and environmental protection controls.
PE-1.6 - CCI-000909
The organization disseminates physical and environmental protection procedures to organization-defined personnel or roles.
PE-1.8 - CCI-000907
The organization defines the frequency to review and update the physical and environmental protection policy.
PE-1.7 - CCI-000906
The organization reviews and updates the current physical and environmental protection policy in accordance with organization-defined frequency.
PE-1.10 - CCI-000911
The organization defines the frequency to review and update the physical and environmental protection procedures.
PE-1.9 - CCI-000910
The organization reviews and updates the current physical and environmental protection procedures in accordance with organization-defined frequency.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
PHYSICAL ACCESS AUTHORIZATIONS
RMF Control
PE-2
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PE-2a.
Develops, approves, and maintains a list of individuals with authorized access to the facility where the information system resides;
PE-2b.
Issues authorization credentials for facility access;
PE-2c.
Reviews the access list detailing authorized facility access by individuals [Assignment: organization-defined frequency]; and
PE-2d.
Removes individuals from the facility access list when access is no longer required.
Supplemental Guidance
This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed (including level of forge-proof badges, smart cards, or identification cards) consistent with federal standards, policies, and procedures. This control only applies to areas within facilities that have not been designated as publicly accessible.
Assessment Procedures
PE-2.1 - CCI-000912
The organization develops a list of individuals with authorized access to the facility where the information system resides.
PE-2.2 - CCI-002910
The organization approves a list of individuals with authorized access to the facility where the information system resides.
PE-2.3 - CCI-002911
The organization maintains a list of individuals with authorized access to the facility where the information system resides.
PE-2.4 - CCI-000913
The organization issues authorization credentials for facility access.
PE-2.5 - CCI-000914
The organization reviews the access list detailing authorized facility access by individuals in accordance with organization-defined frequency.
PE-2.6 - CCI-000915
The organization defines the frequency to review the access list detailing authorized facility access by individuals.
PE-2.7 - CCI-001635
The organization removes individuals from the facility access list when access is no longer required.
Related Controls
  1. PE-3 - Physical Access Control
  2. PE-4 - Access Control For Transmission Medium
  3. PS-3 - Personnel Screening
Enhancements
PE-2 (1) - Access By Position / Role
The organization authorizes physical access to the facility where the information system resides based on position or role.
PE-2 (2) - Two Forms Of Identification
The organization requires two forms of identification from [Assignment: organization-defined list of acceptable forms of identification] for visitor access to the facility where the information system resides.
PE-2 (3) - Restrict Unescorted Access
The organization restricts unescorted access to the facility where the information 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]].
PHYSICAL ACCESS CONTROL
RMF Control
PE-3
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PE-3a.
Enforces physical access authorizations at [Assignment: organization-defined entry/exit points to the facility where the information system resides] by;
PE-3b.
Maintains physical access audit logs for [Assignment: organization-defined entry/exit points];
PE-3c.
Provides [Assignment: organization-defined security safeguards] to control access to areas within the facility officially designated as publicly accessible;
PE-3d.
Escorts visitors and monitors visitor activity [Assignment: organization-defined circumstances requiring visitor escorts and monitoring];
PE-3e.
Secures keys, combinations, and other physical access devices;
PE-3f.
Inventories [Assignment: organization-defined physical access devices] every [Assignment: organization-defined frequency]; and
PE-3g.
Changes combinations and keys [Assignment: organization-defined frequency] and/or when keys are lost, combinations are compromised, or individuals are transferred or terminated.
Supplemental Guidance
This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional physical security staff or other personnel such as administrative staff or information system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Safeguards for publicly accessible areas within organizational facilities include, for example, cameras, monitoring by guards, and isolating selected information systems and/or system components in secured areas. Physical access control systems comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The Federal Identity, Credential, and Access Management Program provides implementation guidance for identity, credential, and access management capabilities for physical access control systems. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g., a written log of individuals accessing the facility and when such access occurred), automated (e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points can include facility access points, interior access points to information systems and/or components requiring supplemental access controls, or both. Components of organizational information systems (e.g., workstations, terminals) may be located in areas designated as publicly accessible with organizations safeguarding access to such devices.
Assessment Procedures
PE-3.2 - CCI-002915
The organization defines the entry/exit points to the facility where the information system resides.
PE-3.1 - CCI-000919
The organization enforces physical access authorizations at organization-defined entry/exit points to the facility where the information system resides.
PE-3.3 - CCI-000920
The organization verifies individual access authorizations before granting access to the facility.
PE-3.5 - CCI-002916
The organization defines the physical access control systems/devices or guards that control ingress/egress to the facility.
PE-3.4 - CCI-000921
The organization controls ingress/egress to the facility using one or more organization-defined physical access control systems/devices or guards.
PE-3.7 - CCI-002918
The organization defines entry/exit points that require physical access audit logs be maintained.
PE-3.6 - CCI-002917
The organization maintains physical access audit logs for organization-defined entry/exit points.
PE-3.9 - CCI-002920
The organization defines security safeguards to control access to areas within the facility officially designated as publicly accessible.
PE-3.8 - CCI-002919
The organization provides organization-defined security safeguards to control access to areas within the facility officially designated as publicly accessible.
PE-3.11 - CCI-002922
The organization defines circumstances requiring visitor escorts.
PE-3.10 - CCI-002921
The organization escorts visitors during organization-defined circumstances requiring visitor escorts.
PE-3.13 - CCI-002924
The organization defines circumstances requiring visitor monitoring.
PE-3.12 - CCI-002923
The organization monitors visitor activity during organization-defined circumstances requiring visitor monitoring.
PE-3.14 - CCI-000923
The organization secures keys, combinations, and other physical access devices.
PE-3.17 - CCI-002925
The organization defines the physical access devices to inventory.
PE-3.16 - CCI-000925
The organization defines the frequency for conducting inventories of organization-defined physical access devices.
PE-3.15 - CCI-000924
The organization inventories organization-defined physical access devices every organization-defined frequency.
PE-3.19 - CCI-000927
The organization defines a frequency for changing combinations and keys.
PE-3.18 - CCI-000926
The organization changes combinations and keys in accordance with organization-defined frequency and/or when keys are lost, combinations are compromised, or individuals are transferred or terminated.
Related Controls
  1. AU-2 - Audit Events
  2. AU-6 - Audit Review, Analysis, And Reporting
  3. MP-2 - Media Access
  4. MP-4 - Media Storage
  5. PE-2 - Physical Access Authorizations
  6. PE-4 - Access Control For Transmission Medium
  7. PE-5 - Access Control For Output Devices
  8. PS-3 - Personnel Screening
  9. RA-3 - Risk Assessment
References
Enhancements
PE-3 (1) - Information System Access
The organization enforces physical access authorizations to the information system in addition to the physical access controls for the facility at [Assignment: organization-defined physical spaces containing one or more components of the information system].
PE-3 (2) - Facility / Information System Boundaries
The organization performs security checks [Assignment: organization-defined frequency] at the physical boundary of the facility or information system for unauthorized exfiltration of information or removal of information system components.
PE-3 (3) - Continuous Guards / Alarms / Monitoring
The organization employs guards and/or alarms to monitor every physical access point to the facility where the information system resides 24 hours per day, 7 days per week.
PE-3 (4) - Lockable Casings
The organization uses lockable physical casings to protect [Assignment: organization-defined information system components] from unauthorized physical access.
PE-3 (5) - Tamper Protection
The organization employs [Assignment: organization-defined security safeguards] to [Selection (one or more): detect; prevent] physical tampering or alteration of [Assignment: organization-defined hardware components] within the information system.
PE-3 (6) - Facility Penetration Testing
The organization employs a penetration testing process that includes [Assignment: organization-defined frequency], unannounced attempts to bypass or circumvent security controls associated with physical access points to the facility.
ACCESS CONTROL FOR TRANSMISSION MEDIUM
RMF Control
PE-4
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
MODERATE, HIGH
Requirements
The organization controls physical access to [Assignment: organization-defined information system distribution and transmission lines] within organizational facilities using [Assignment: organization-defined security safeguards].
Supplemental Guidance
Physical security safeguards applied to information system distribution and transmission lines help to prevent accidental damage, disruption, and physical tampering. In addition, physical safeguards may be necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Security safeguards to control physical access to system distribution and transmission lines include, for example: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays.
Assessment Procedures
PE-4.1 - CCI-000936
The organization controls physical access to organization-defined information system distribution and transmission lines within organizational facilities using organization-defined security safeguards.
PE-4.2 - CCI-002930
The organization defines information system distribution and transmission lines within organizational facilities to control physical access using organization-defined security safeguards.
PE-4.3 - CCI-002931
The organization defines security safeguards to control physical access to organization-defined information system distribution and transmission lines within organizational facilities.
Related Controls
  1. MP-2 - Media Access
  2. MP-4 - Media Storage
  3. PE-2 - Physical Access Authorizations
  4. PE-3 - Physical Access Control
  5. PE-5 - Access Control For Output Devices
  6. SC-7 - Boundary Protection
  7. SC-8 - Transmission Confidentiality And Integrity
References
Enhancements
ACCESS CONTROL FOR OUTPUT DEVICES
RMF Control
PE-5
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
MODERATE, HIGH
Requirements
The organization controls physical access to information system 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, and placing output devices in locations that can be monitored by organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of information system output devices.
Assessment Procedures
PE-5.1 - CCI-000937
The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output.
Related Controls
  1. PE-2 - Physical Access Authorizations
  2. PE-3 - Physical Access Control
  3. PE-4 - Access Control For Transmission Medium
  4. PE-18 - Location Of Information System Components
Enhancements
PE-5 (1) - Access To Output By Authorized Individuals
The organization:
PE-5 (2) - Access To Output By Individual Identity
The information system:
PE-5 (3) - Marking Output Devices
The organization marks [Assignment: organization-defined information system output devices] indicating the appropriate security marking of the information permitted to be output from the device.
MONITORING PHYSICAL ACCESS
RMF Control
PE-6
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PE-6a.
Monitors physical access to the facility where the information system resides to detect and respond to physical security incidents;
PE-6b.
Reviews physical access logs [Assignment: organization-defined frequency] and upon occurrence of [Assignment: organization-defined events or potential indications of events]; and
PE-6c.
Coordinates results of reviews and investigations with the organizational incident response capability.
Supplemental Guidance
Organizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, apparent security violations or suspicious physical access activities. Suspicious physical access activities include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses.
Assessment Procedures
PE-6.1 - CCI-002939
The organization monitors physical access to the facility where the information system resides to detect and respond to physical security incidents.
PE-6.5 - CCI-000940
The organization defines a frequency for reviewing physical access logs.
PE-6.4 - CCI-000939
The organization reviews physical access logs in accordance with organization-defined frequency.
PE-6.3 - CCI-002941
The organization defines events or potential indications of events requiring review of physical access logs.
PE-6.2 - CCI-002940
The organization reviews physical access logs upon occurrence of organization-defined events or potential indications of events
PE-6.6 - CCI-000941
The organization coordinates results of reviews and investigations with the organizations incident response capability.
Related Controls
  1. CA-7 - Continuous Monitoring
  2. IR-4 - Incident Handling
  3. IR-8 - Incident Response Plan
Enhancements
PE-6 (1) - Intrusion Alarms / Surveillance Equipment
The organization monitors physical intrusion alarms and surveillance equipment.
PE-6 (2) - Automated Intrusion Recognition / Responses
The organization employs automated mechanisms to recognize [Assignment: organization-defined classes/types of intrusions] and initiate [Assignment: organization-defined response actions].
PE-6 (3) - Video Surveillance
The organization employs video surveillance of [Assignment: organization-defined operational areas] and retains video recordings for [Assignment: organization-defined time period].
PE-6 (4) - Monitoring Physical Access To Information Systems
The organization monitors physical access to the information system in addition to the physical access monitoring of the facility as [Assignment: organization-defined physical spaces containing one or more components of the information system].
VISITOR CONTROL
RMF Control
PE-7
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
Requirements
[Withdrawn: Incorporated into PE-2 and PE-3].
Supplemental Guidance
Assessment Procedures
Related Controls
Enhancements
VISITOR ACCESS RECORDS
RMF Control
PE-8
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PE-8a.
Maintains visitor access records to the facility where the information system resides for [Assignment: organization-defined time period]; and
PE-8b.
Reviews 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, purposes of visits, and names and organizations of persons visited. Visitor access records are not required for publicly accessible areas.
Assessment Procedures
PE-8.2 - CCI-002952
The organization defines the time period to maintain visitor access records to the facility where the information system resides.
PE-8.1 - CCI-000947
The organization maintains visitor access records to the facility where the information system resides for organization-defined time period.
PE-8.4 - CCI-000949
The organization defines the frequency to review the visitor access records for the facility where the information system resides.
PE-8.3 - CCI-000948
The organization reviews visitor access records in accordance with organization-defined frequency.
Related Controls
Enhancements
PE-8 (1) - Automated Records Maintenance / Review
The organization employs automated mechanisms to facilitate the maintenance and review of visitor access records.
PE-8 (2) - Physical Access Records
[Withdrawn: Incorporated into PE-2].
POWER EQUIPMENT AND CABLING
RMF Control
PE-9
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
MODERATE, HIGH
Requirements
The organization protects power equipment and power cabling for the information system from damage and destruction.
Supplemental Guidance
Organizations determine the types of protection necessary for power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. This includes, for example, generators and power cabling outside of buildings, internal cabling and uninterruptable power sources within an office or data center, and power sources for self-contained entities such as vehicles and satellites.
Assessment Procedures
PE-9.1 - CCI-000952
The organization protects power equipment and power cabling for the information system from damage and destruction.
Related Controls
  1. PE-4 - Access Control For Transmission Medium
Enhancements
PE-9 (1) - Redundant Cabling
The organization employs redundant power cabling paths that are physically separated by [Assignment: organization-defined distance].
PE-9 (2) - Automatic Voltage Controls
The organization employs automatic voltage controls for [Assignment: organization-defined critical information system components].
EMERGENCY SHUTOFF
RMF Control
PE-10
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
MODERATE, HIGH
Requirements
The organization:
PE-10a.
Provides the capability of shutting off power to the information system or individual system components in emergency situations;
PE-10b.
Places emergency shutoff switches or devices in [Assignment: organization-defined location by information system or system component] to facilitate safe and easy access for personnel; and
PE-10c.
Protects emergency power shutoff capability from unauthorized activation.
Supplemental Guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.
Assessment Procedures
PE-10.1 - CCI-000956
The organization provides the capability of shutting off power to the information system or individual system components in emergency situations.
PE-10.2 - CCI-000957
The organization places emergency shutoff switches or devices in an organization-defined location by information system or system component to facilitate safe and easy access for personnel.
PE-10.3 - CCI-000958
The organization defines a location for emergency shutoff switches or devices by information system or system component.
PE-10.4 - CCI-000959
The organization protects emergency power shutoff capability from unauthorized activation.
Related Controls
  1. PE-15 - Water Damage Protection
Enhancements
PE-10 (1) - Accidental / Unauthorized Activation
[Withdrawn: Incorporated into PE-10].
EMERGENCY POWER
RMF Control
PE-11
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
MODERATE, HIGH
Requirements
The organization provides a short-term uninterruptible power supply to facilitate [Selection (one or more): an orderly shutdown of the information system; transition of the information system to long-term alternate power] in the event of a primary power source loss.
Supplemental Guidance
Assessment Procedures
PE-11.1 - CCI-002955
The organization provides a short-term uninterruptible power supply to facilitate an orderly shutdown of the information system and/or transition of the information system to long-term alternate power in the event of a primary power source loss.
Related Controls
  1. AT-3 - Role-Based Security Training
  2. CP-2 - Contingency Plan
  3. CP-7 - Alternate Processing Site
Enhancements
PE-11 (1) - Long-Term Alternate Power Supply - Minimal Operational Capability
The organization provides a long-term alternate power supply for the information system that is capable of maintaining minimally required operational capability in the event of an extended loss of the primary power source.
PE-11 (2) - Long-Term Alternate Power Supply - Self-Contained
The organization provides a long-term alternate power supply for the information system that is:
EMERGENCY LIGHTING
RMF Control
PE-12
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.
Supplemental Guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.
Assessment Procedures
PE-12.1 - CCI-000963
The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility.
Related Controls
  1. CP-2 - Contingency Plan
  2. CP-7 - Alternate Processing Site
Enhancements
PE-12 (1) - Essential Missions / Business Functions
The organization provides emergency lighting for all areas within the facility supporting essential missions and business functions.
FIRE PROTECTION
RMF Control
PE-13
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.
Supplemental Guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.
Assessment Procedures
PE-13.1 - CCI-000965
The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source.
Related Controls
Enhancements
PE-13 (1) - Detection Devices / Systems
The organization employs fire detection devices/systems for the information system that activate automatically and notify [Assignment: organization-defined personnel or roles] and [Assignment: organization-defined emergency responders] in the event of a fire.
PE-13 (2) - Suppression Devices / Systems
The organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to Assignment: organization-defined personnel or roles] and [Assignment: organization-defined emergency responders].
PE-13 (3) - Automatic Fire Suppression
The organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis.
PE-13 (4) - Inspections
The organization ensures that the facility undergoes [Assignment: organization-defined frequency] inspections by authorized and qualified inspectors and resolves identified deficiencies within [Assignment: organization-defined time period].
TEMPERATURE AND HUMIDITY CONTROLS
RMF Control
PE-14
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PE-14a.
Maintains temperature and humidity levels within the facility where the information system resides at [Assignment: organization-defined acceptable levels]; and
PE-14b.
Monitors temperature and humidity levels [Assignment: organization-defined frequency].
Supplemental Guidance
This control applies primarily to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.
Assessment Procedures
PE-14.1 - CCI-000971
The organization maintains temperature and humidity levels within the facility where the information system resides at organization-defined acceptable levels.
PE-14.2 - CCI-000972
The organization defines acceptable temperature and humidity levels to be maintained within the facility where the information system resides.
PE-14.3 - CCI-000973
The organization monitors temperature and humidity levels in accordance with organization-defined frequency.
PE-14.4 - CCI-000974
The organization defines a frequency for monitoring temperature and humidity levels.
Related Controls
  1. AT-3 - Role-Based Security Training
Enhancements
PE-14 (1) - Automatic Controls
The organization employs automatic temperature and humidity controls in the facility to prevent fluctuations potentially harmful to the information system.
PE-14 (2) - Monitoring With Alarms / Notifications
The organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment.
WATER DAMAGE PROTECTION
RMF Control
PE-15
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel.
Supplemental Guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations.
Assessment Procedures
PE-15.1 - CCI-000977
The organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible.
PE-15.2 - CCI-000978
The organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are working properly.
PE-15.3 - CCI-000979
Key personnel have knowledge of the master water shutoff or isolation valves.
Related Controls
  1. AT-3 - Role-Based Security Training
Enhancements
PE-15 (1) - Automation Support
The organization employs automated mechanisms to detect the presence of water in the vicinity of the information system and alerts [Assignment: organization-defined personnel or roles].
DELIVERY AND REMOVAL
RMF Control
PE-16
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization authorizes, monitors, and controls [Assignment: organization-defined types of information system components] entering and exiting the facility and maintains records of those items.
Supplemental Guidance
Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.
Assessment Procedures
PE-16.1 - CCI-000981
The organization authorizes organization-defined types of information system components entering and exiting the facility.
PE-16.2 - CCI-000982
The organization monitors organization-defined types of information system components entering and exiting the facility.
PE-16.3 - CCI-000983
The organization controls organization-defined types of information system components entering and exiting the facility.
PE-16.4 - CCI-000984
The organization maintains records of information system components entering and exiting the facility.
PE-16.5 - CCI-002974
The organization defines types of information system components to authorize, monitor, and control entering and exiting the facility and to maintain records.
Related Controls
  1. CM-3 - Configuration Change Control
  2. MA-2 - Controlled Maintenance
  3. MA-3 - Maintenance Tools
  4. MP-5 - Media Transport
  5. SA-12 - Supply Chain Protection
Enhancements
ALTERNATE WORK SITE
RMF Control
PE-17
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
MODERATE, HIGH
Requirements
The organization:
PE-17a.
Employs [Assignment: organization-defined security controls] at alternate work sites;
PE-17b.
Assesses as feasible, the effectiveness of security controls at alternate work sites; and
PE-17c.
Provides a means for employees to communicate with information security personnel in case of security incidents or problems.
Supplemental Guidance
Alternate work sites may include, for example, government facilities or private residences of employees. While commonly distinct from alternative processing sites, alternate work sites may provide readily available alternate locations as part of contingency operations. Organizations may define different sets of security controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations and the federal telework initiative.
Assessment Procedures
PE-17.1 - CCI-000985
The organization employs organization-defined security controls at alternate work sites.
PE-17.3 - CCI-000987
The organization assesses as feasible, the effectiveness of security controls at alternate work sites.
PE-17.4 - CCI-000988
The organization provides a means for employees to communicate with information security personnel in case of security incidents or problems.
PE-17.2 - CCI-002975
The organization defines security controls to employ at alternate work sites.
Related Controls
  1. AC-17 - Remote Access
  2. CP-7 - Alternate Processing Site
References
Enhancements
LOCATION OF INFORMATION SYSTEM COMPONENTS
RMF Control
PE-18
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
HIGH
Requirements
The organization positions information 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. In addition, organizations consider the location of physical entry points where unauthorized individuals, while not being granted access, might nonetheless be in close proximity to information systems and therefore increase the potential for unauthorized access to organizational communications (e.g., through the use of wireless sniffers or microphones).
Assessment Procedures
PE-18.1 - CCI-000989
The organization positions information system components within the facility to minimize potential damage from organization-defined physical and environmental hazards.
PE-18.2 - CCI-000991
The organization positions information system components within the facility to minimize the opportunity for unauthorized access.
PE-18.3 - CCI-002976
The organization defines physical and environmental hazards that could cause potential damage to information system components within the facility.
Related Controls
  1. CP-2 - Contingency Plan
  2. PE-19 - Information Leakage
  3. RA-3 - Risk Assessment
Enhancements
PE-18 (1) - Facility Site
The organization plans the location or site of the facility where the information system resides with regard to physical and environmental hazards and for existing facilities, considers the physical and environmental hazards in its risk mitigation strategy.
INFORMATION LEAKAGE
RMF Control
PE-19
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
Requirements
The organization protects the information system from information leakage due to electromagnetic signals emanations.
Supplemental Guidance
Information leakage is the intentional or unintentional release of information to an untrusted environment from electromagnetic signals emanations. Security categories or classifications of information systems (with respect to confidentiality) and organizational security policies guide the selection of security controls employed to protect systems against information leakage due to electromagnetic signals emanations.
Assessment Procedures
PE-19.1 - CCI-000993
The organization protects the information system from information leakage due to electromagnetic signals emanations.
Related Controls
References
Enhancements
PE-19 (1) - National Emissions / Tempest Policies And Procedures
The organization ensures that information system components, associated data communications, and networks are protected in accordance with national emissions and TEMPEST policies and procedures based on the security category or classification of the information.
ASSET MONITORING AND TRACKING
RMF Control
PE-20
Subject Area
PHYSICAL AND ENVIRONMENTAL PROTECTION
Baseline Areas
Requirements
The organization:
PE-20a.
Employs [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]; and
PE-20b.
Ensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.
Supplemental Guidance
Asset location technologies can help organizations ensure that critical assets such as vehicles or essential information system components remain in authorized locations. Organizations consult with the Office of the General Counsel and the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) regarding the deployment and use of asset location technologies to address potential privacy concerns.
Assessment Procedures
PE-20.1 - CCI-002979
The organization employs organization-defined asset location technologies to track and monitor the location and movement of organization-defined assets within organization-defined controlled areas.
PE-20.2 - CCI-002980
The organization defines asset location technologies to track and monitor the location and movement of organization-defined assets within organization-defined controlled areas.
PE-20.3 - CCI-002981
The organization defines the assets within the organization-defined controlled areas which are to be tracked and monitored for their location and movement.
PE-20.4 - CCI-002982
The organization defines controlled areas that the location and movement of organization-defined assets are tracked and monitored.
PE-20.5 - CCI-002983
The organization ensures that asset location technologies are employed in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance.
Related Controls
  1. CM-8 - Information System Component Inventory
Enhancements
SECURITY PLANNING POLICY AND PROCEDURES
RMF Control
PL-1
Subject Area
PLANNING
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PL-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
PL-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PL family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
PL-1.1 - CCI-003047
The organization defines the personnel or roles to whom a security planning policy is disseminated.
PL-1.2 - CCI-003048
The organization defines the personnel or roles to whom the security planning procedures are disseminated.
PL-1.3 - CCI-000563
The organization develops and documents a security planning policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
PL-1.4 - CCI-000564
The organization disseminates a security planning policy to organization-defined personnel or roles.
PL-1.5 - CCI-000566
The organization develops and documents procedures to facilitate the implementation of the security planning policy and associated security planning controls.
PL-1.6 - CCI-001636
The organization defines the frequency to review and update the current security planning policy.
PL-1.7 - CCI-001637
The organization reviews and updates the current security planning policy in accordance with organization-defined frequency.
PL-1.10 - CCI-001638
The organization defines the frequency to review and update the current security planning procedures.
PL-1.9 - CCI-000568
The organization reviews and updates the current security planning procedures in accordance with organization-defined frequency.
PL-1.8 - CCI-000567
The organization disseminates security planning procedures to organization-defined personnel or roles.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
SYSTEM SECURITY PLAN
RMF Control
PL-2
Subject Area
PLANNING
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PL-2a.
Develops a security plan for the information system that:
PL-2b.
Distributes copies of the security plan and communicates subsequent changes to the plan to [Assignment: organization-defined personnel or roles];
PL-2c.
Reviews the security plan for the information system [Assignment: organization-defined frequency];
PL-2d.
Updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments; and
PL-2e.
Protects the security plan from unauthorized disclosure and modification.
Supplemental Guidance
Security plans relate security requirements to a set of security controls and control enhancements. Security plans also describe, at a high level, how the security controls and control enhancements meet those security requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls/enhancements. Security plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the security control baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide use or to address specialized requirements, technologies, or missions/environments of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access Management, space operations). Appendix I provides guidance on developing overlays. Security plans need not be single documents; the plans can be a collection of various documents including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. For example, security plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans.
Assessment Procedures
PL-2.1 - CCI-003049
The organization develops a security plan for the information system.
PL-2.2 - CCI-003050
The organization's security plan for the information system is consistent with the organization's enterprise architecture.
PL-2.3 - CCI-003051
The organization's security plan for the information system explicitly defines the authorization boundary for the system.
PL-2.4 - CCI-003052
The organization's security plan for the information system describes the operational context of the information system in terms of missions and business processes.
PL-2.5 - CCI-003053
The organization's security plan for the information system provides the security categorization of the information system including supporting rationale.
PL-2.6 - CCI-003054
The organization's security plan for the information system describes the operational environment for the information system and relationships with or connections to other information systems.
PL-2.7 - CCI-003055
The organization's security plan for the information system provides an overview of the security requirements for the system
PL-2.8 - CCI-003056
The organization's security plan for the information system identifies any relevant overlays, if applicable.
PL-2.9 - CCI-003057
The organization's security plan for the information system describes the security controls in place or planned for meeting those requirements including a rationale for the tailoring decisions.
PL-2.10 - CCI-000571
The organization's security plan for the information system is reviewed and approved by the authorizing official or designated representative prior to plan implementation.
PL-2.11 - CCI-003059
The organization distributes copies of the security plan to organization-defined personnel or roles.
PL-2.12 - CCI-003060
The organization defines the personnel or roles to whom copies of the security plan is distributed.
PL-2.13 - CCI-003061
The organization communicates subsequent changes to the security plan to organization-defined personnel or roles.
PL-2.14 - CCI-003062
The organization defines the personnel or roles to whom changes to the security plan are communicated.
PL-2.15 - CCI-000572
The organization defines the frequency for reviewing the security plan for the information system.
PL-2.16 - CCI-000573
The organization reviews the security plan for the information system in accordance with organization-defined frequency.
PL-2.17 - CCI-000574
The organization updates the plan to address changes to the information system/environment of operation or problems identified during plan implementation or security control assessments.
PL-2.18 - CCI-003063
The organization protects the security plan from unauthorized disclosure.
PL-2.19 - CCI-003064
The organization protects the security plan from unauthorized modification.
Related Controls
  1. AC-2 - Account Management
  2. AC-6 - Least Privilege
  3. AC-14 - Permitted Actions Without Identification Or Authentication
  4. AC-17 - Remote Access
  5. AC-20 - Use Of External Information Systems
  6. CA-2 - Security Assessments
  7. CA-3 - System Interconnections
  8. CA-7 - Continuous Monitoring
  9. CM-9 - Configuration Management Plan
  10. CP-2 - Contingency Plan
  11. IR-8 - Incident Response Plan
  12. MA-4 - Nonlocal Maintenance
  13. MA-5 - Maintenance Personnel
  14. MP-2 - Media Access
  15. MP-4 - Media Storage
  16. MP-5 - Media Transport
  17. PL-7 - Security Concept Of Operations
  18. PM-1 - Information Security Program Plan
  19. PM-7 - Enterprise Architecture
  20. PM-8 - Critical Infrastructure Plan
  21. PM-9 - Risk Management Strategy
  22. PM-11 - Mission/Business Process Definition
  23. SA-5 - Information System Documentation
  24. SA-17 - Developer Security Architecture And Design
References
Enhancements
PL-2 (1) - Concept Of Operations
[Withdrawn: Incorporated into PL-7].
PL-2 (2) - Functional Architecture
[Withdrawn: Incorporated into PL-8].
PL-2 (3) - Plan / Coordinate With Other Organizational Entities
The organization plans and coordinates security-related activities affecting the information system with [Assignment: organization-defined individuals or groups] before conducting such activities in order to reduce the impact on other organizational entities.
SYSTEM SECURITY PLAN UPDATE
RMF Control
PL-3
Subject Area
PLANNING
Baseline Areas
Requirements
[Withdrawn: Incorporated into PL-2].
Supplemental Guidance
Assessment Procedures
Related Controls
Enhancements
RULES OF BEHAVIOR
RMF Control
PL-4
Subject Area
PLANNING
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PL-4a.
Establishes and makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage;
PL-4b.
Receives a signed acknowledgment from such individuals, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system;
PL-4c.
Reviews and updates the rules of behavior [Assignment: organization-defined frequency]; and
PL-4d.
Requires individuals who have signed a previous version of the rules of behavior to read and re-sign when the rules of behavior are revised/updated.
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 general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior.
Assessment Procedures
PL-4.1 - CCI-000592
The organization establishes the rules describing the responsibilities and expected behavior, with regard to information and information system usage, for individuals requiring access to the information system.
PL-4.2 - CCI-001639
The organization makes readily available to individuals requiring access to the information system, the rules that describe their responsibilities and expected behavior with regard to information and information system usage.
PL-4.3 - CCI-000593
The organization receives a signed acknowledgment from individuals requiring access the system, indicating that they have read, understand, and agree to abide by the rules of behavior, before authorizing access to information and the information system.
PL-4.5 - CCI-003069
The organization defines the frequency to review and update the rules of behavior.
PL-4.4 - CCI-003068
The organization reviews and updates the rules of behavior in accordance with organization-defined frequency.
PL-4.6 - CCI-003070
The organization requires individuals who have signed a previous version of the rules of behavior to read and resign when the rules of behavior are revised/updated.
Related Controls
  1. AC-2 - Account Management
  2. AC-6 - Least Privilege
  3. AC-8 - System Use Notification
  4. AC-9 - Previous Logon (Access) Notification
  5. AC-17 - Remote Access
  6. AC-18 - Wireless Access
  7. AC-19 - Access Control For Mobile Devices
  8. AC-20 - Use Of External Information Systems
  9. AT-2 - Security Awareness Training
  10. AT-3 - Role-Based Security Training
  11. CM-11 - User-Installed Software
  12. IA-2 - Identification And Authentication (Organizational Users)
  13. IA-4 - Identifier Management
  14. IA-5 - Authenticator Management
  15. MP-7 - Media Use
  16. PS-6 - Access Agreements
  17. PS-8 - Personnel Sanctions
  18. SA-5 - Information System Documentation
References
Enhancements
PL-4 (1) - Social Media And Networking Restrictions
The organization includes in the rules of behavior, explicit restrictions on the use of social media/networking sites and posting organizational information on public websites.
PRIVACY IMPACT ASSESSMENT
RMF Control
PL-5
Subject Area
PLANNING
Baseline Areas
Requirements
[Withdrawn: Incorporated into Appendix J, AR-2].
Supplemental Guidance
Assessment Procedures
Related Controls
Enhancements
SECURITY-RELATED ACTIVITY PLANNING
RMF Control
PL-6
Subject Area
PLANNING
Baseline Areas
Requirements
[Withdrawn: Incorporated into PL-2].
Supplemental Guidance
Assessment Procedures
Related Controls
Enhancements
SECURITY CONCEPT OF OPERATIONS
RMF Control
PL-7
Subject Area
PLANNING
Baseline Areas
Requirements
The organization:
PL-7a.
Develops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security; and
PL-7b.
Reviews and updates the CONOPS [Assignment: organization-defined frequency].
Supplemental Guidance
The security CONOPS may be included in the security plan for the information system or in other system development life cycle-related documents, as appropriate. Changes to the CONOPS are reflected in ongoing updates to the security plan, the information security architecture, and other appropriate organizational documents (e.g., security specifications for procurements/acquisitions, system development life cycle documents, and systems/security engineering documents).
Assessment Procedures
PL-7.1 - CCI-003071
The organization develops a security Concept of Operations (CONOPS) for the information system containing at a minimum, how the organization intends to operate the system from the perspective of information security.
PL-7.2 - CCI-000577
The organization defines the frequency to review and update the security CONOPS.
PL-7.3 - CCI-000578
The organization reviews and updates the security CONOPS in accordance with organization-defined frequency.
Related Controls
  1. PL-2 - System Security Plan
Enhancements
INFORMATION SECURITY ARCHITECTURE
RMF Control
PL-8
Subject Area
PLANNING
Baseline Areas
MODERATE, HIGH
Requirements
The organization:
PL-8a.
Develops an information security architecture for the information system that:
PL-8b.
Reviews and updates the information security architecture [Assignment: organization-defined frequency] to reflect updates in the enterprise architecture; and
PL-8c.
Ensures that planned information security architecture changes are reflected in the security plan, the security Concept of Operations (CONOPS), and organizational procurements/acquisitions.
Supplemental Guidance
This control addresses actions taken by organizations in the design and development of information systems. The information security architecture at the individual information system level is consistent with and complements the more global, organization-wide information security architecture described in PM-7 that is integral to and developed as part of the enterprise architecture. The information security architecture includes an architectural description, the placement/allocation of security functionality (including security controls), security-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security architecture can include other important security-related information, for example, user roles and access privileges assigned to each role, unique security requirements, the types of information processed, stored, and transmitted by the information system, restoration priorities of information and information system services, and any other specific protection needs. In today�s modern architecture, it is becoming less common for organizations to control all information resources. There are going to be key dependencies on external information services and service providers. Describing such dependencies in the information security architecture is important to developing a comprehensive mission/business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational information systems is critical to implementing and maintaining an effective information security architecture. The development of the information security architecture is coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to support privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure that organizations develop an information security architecture for the information system, and that the security architecture is integrated with or tightly coupled to the enterprise architecture through the organization-wide information security architecture. In contrast, SA-17 is primarily directed at external information technology product/system developers and integrators (although SA-17 could be used internally within organizations for in-house system development). SA-17, which is complementary to PL-8, is selected when organizations outsource the development of information systems or information system components to external entities, and there is a need to demonstrate/show consistency with the organization�s enterprise architecture and information security architecture.
Assessment Procedures
PL-8.1 - CCI-003072
The organization develops an information security architecture for the information system.
PL-8.2 - CCI-003073
The organization's information security architecture for the information system describes the overall philosophy, requirements, and approach to be taken with regard to protecting the confidentiality, integrity, and availability of organizational information.
PL-8.3 - CCI-003074
The organization's information security architecture for the information system describes how the information security architecture is integrated into and supports the enterprise architecture.
PL-8.4 - CCI-003075
The organization's information security architecture for the information system describes any information security assumptions about, and dependencies on, external services.
PL-8.5 - CCI-003076
The organization reviews and updates the information security architecture in accordance with organization-defined frequency to reflect updates in the enterprise architecture.
PL-8.6 - CCI-003077
The organization defines the frequency to review and update the information system architecture.
PL-8.7 - CCI-003078
The organization ensures that planned information security architecture changes are reflected in the security plan.
PL-8.8 - CCI-003079
The organization ensures that planned information security architecture changes are reflected in the security Concept of Operations (CONOPS).
PL-8.9 - CCI-003080
The organization ensures that planned information security architecture changes are reflected in organizational procurements/acquisitions.
Related Controls
  1. CM-2 - Baseline Configuration
  2. CM-6 - Configuration Settings
  3. PL-2 - System Security Plan
  4. PM-7 - Enterprise Architecture
  5. SA-5 - Information System Documentation
  6. SA-17 - Developer Security Architecture And Design
  7. Appendix J -
Enhancements
PL-8 (1) - Defense-In-Depth
The organization designs its security architecture using a defense-in-depth approach that:
PL-8 (2) - Supplier Diversity
The organization requires that [Assignment: organization-defined security safeguards] allocated to [Assignment: organization-defined locations and architectural layers] are obtained from different suppliers.
CENTRAL MANAGEMENT
RMF Control
PL-9
Subject Area
PLANNING
Baseline Areas
Requirements
The organization centrally manages [Assignment: organization-defined security controls and related processes].
Supplemental Guidance
Central management refers to the organization-wide management and implementation of selected security controls and related processes. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed security controls and processes. As central management of security controls is generally associated with common controls, such management promotes and facilitates standardization of security control implementations and management and judicious use of organizational resources. Centrally-managed security controls and processes may also meet independence requirements for assessments in support of initial and ongoing authorizations to operate as part of organizational continuous monitoring. As part of the security control selection process, organizations determine which controls may be suitable for central management based on organizational resources and capabilities. Organizations consider that it may not always be possible to centrally manage every aspect of a security control. In such cases, the security control is treated as a hybrid control with the control managed and implemented either centrally or at the information system level. Controls and control enhancements that are candidates for full or partial central management include, but are not limited to: AC-2 (1) (2) (3) (4); AC-17 (1) (2) (3) (9); AC-18 (1) (3) (4) (5); AC-19 (4); AC-22; AC-23; AT-2 (1) (2); AT-3 (1) (2) (3); AT-4; AU-6 (1) (3) (5) (6) (9); AU-7 (1) (2); AU-11, AU-13, AU-16, CA-2 (1) (2) (3); CA-3 (1) (2) (3); CA-7 (1); CA-9; CM-2 (1) (2); CM-3 (1) (4); CM-4; CM-6 (1); CM-7 (4) (5); CM-8 (all); CM-9 (1); CM-10; CM-11; CP-7 (all); CP-8 (all); SC-43; SI-2; SI-3; SI-7; and SI-8.
Assessment Procedures
PL-9.1 - CCI-003117
The organization centrally manages organization-defined security controls and related processes.
PL-9.2 - CCI-003118
The organization defines security controls and related processes to be centrally managed.
Related Controls
References
Enhancements
PERSONNEL SECURITY POLICY AND PROCEDURES
RMF Control
PS-1
Subject Area
PERSONNEL SECURITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PS-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
PS-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
PS-1.1 - CCI-003017
The organization defines the personnel or roles to whom a personnel security policy is disseminated.
PS-1.2 - CCI-003018
The organization defines the personnel or roles to whom the personnel security procedures are disseminated.
PS-1.3 - CCI-001504
The organization develops and documents a personnel security policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
PS-1.4 - CCI-001505
The organization disseminates a personnel security policy to organization-defined personnel or roles.
PS-1.6 - CCI-001509
The organization develops and documents procedures to facilitate the implementation of the personnel security policy and associated personnel security controls.
PS-1.5 - CCI-001510
The organization disseminates personnel security procedures to organization-defined personnel or roles.
PS-1.8 - CCI-001507
The organization defines the frequency to review and update the current personnel security policy.
PS-1.7 - CCI-001506
The organization reviews and updates the current personnel security policy in accordance with organization-defined frequency.
PS-1.10 - CCI-001508
The organization defines the frequency to review and update the current personnel security procedures.
PS-1.9 - CCI-001511
The organization reviews and updates the current personnel security procedures in accordance with organization-defined frequency.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
POSITION RISK DESIGNATION
RMF Control
PS-2
Subject Area
PERSONNEL SECURITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PS-2a.
Assigns a risk designation to all organizational positions;
PS-2b.
Establishes screening criteria for individuals filling those positions; and
PS-2c.
Reviews and updates 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 information systems. Position screening criteria include explicit information security role appointment requirements (e.g., training, security clearances).
Assessment Procedures
PS-2.1 - CCI-001512
The organization assigns a risk designation to all organizational positions.
PS-2.2 - CCI-001513
The organization establishes screening criteria for individuals filling organizational positions.
PS-2.3 - CCI-001514
The organization reviews and updates position risk designations in accordance with organization-defined frequency.
PS-2.4 - CCI-001515
The organization defines the frequency to review and update position risk designations.
Related Controls
  1. AT-3 - Role-Based Security Training
  2. PL-2 - System Security Plan
  3. PS-3 - Personnel Screening
References
Enhancements
PERSONNEL SCREENING
RMF Control
PS-3
Subject Area
PERSONNEL SECURITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PS-3a.
Screens individuals prior to authorizing access to the information system; and
PS-3b.
Rescreens individuals according to [Assignment: organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening].
Supplemental Guidance
Personnel screening and rescreening activities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, guidance, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing information systems based on types of information processed, stored, or transmitted by the systems.
Assessment Procedures
PS-3.1 - CCI-001516
The organization screens individuals prior to authorizing access to the information system.
PS-3.2 - CCI-001517
The organization rescreens individuals with authorized access to the information system according to organization-defined conditions requiring rescreening, and where rescreening is so indicated, the organization-defined frequency of such rescreening.
PS-3.3 - CCI-001518
The organization defines the conditions requiring rescreening of individuals with authorized access to the information system.
PS-3.4 - CCI-001519
The organization defines the frequency for rescreening individuals with authorized access to the information system when organization-defined conditions requiring rescreening are met.
Related Controls
  1. AC-2 - Account Management
  2. IA-4 - Identifier Management
  3. PE-2 - Physical Access Authorizations
  4. PS-2 - Position Risk Designation
References
Enhancements
PS-3 (1) - Classified Information
The organization ensures that individuals accessing an information system processing, storing, or transmitting classified information are cleared and indoctrinated to the highest classification level of the information to which they have access on the system.
PS-3 (2) - Formal Indoctrination
The organization ensures that individuals accessing an information system processing, storing, or transmitting types of classified information which require formal indoctrination, are formally indoctrinated for all of the relevant types of information to which they have access on the system.
PS-3 (3) - Information With Special Protection Measures
The organization ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection:
PERSONNEL TERMINATION
RMF Control
PS-4
Subject Area
PERSONNEL SECURITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization, upon termination of individual employment:
PS-4a.
Disables information system access within [Assignment: organization-defined time period];
PS-4b.
Terminates/revokes any authenticators/credentials associated with the individual;
PS-4c.
Conducts exit interviews that include a discussion of [Assignment: organization-defined information security topics];
PS-4d.
Retrieves all security-related organizational information system-related property;
PS-4e.
Retains access to organizational information and information systems formerly controlled by terminated individual; and
PS-4f.
Notifies [Assignment: organization-defined personnel or roles] within [Assignment: organization-defined time period].
Supplemental Guidance
Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for information system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and nonavailability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the information system accounts of individuals that are being terminated prior to the individuals being notified.
Assessment Procedures
PS-4.2 - CCI-003022
The organization defines the time period to disable information system access upon termination of individual employment.
PS-4.1 - CCI-001522
The organization, upon termination of individual employment, disables information system access within organization-defined time period.
PS-4.3 - CCI-003023
The organization, upon termination of individual employment, terminates/revokes any authenticators/credentials associated with the individual.
PS-4.5 - CCI-003024
The organization defines information security topics to be discussed while conducting exit interviews.
PS-4.4 - CCI-001523
The organization, upon termination of individual employment, conducts exit interviews that include a discussion of organization-defined information security topics.
PS-4.6 - CCI-001524
The organization, upon termination of individual employment, retrieves all security-related organizational information systems-related property.
PS-4.7 - CCI-001525
The organization, upon termination of individual employment, retains access to organizational information formerly controlled by terminated individual.
PS-4.8 - CCI-001526
The organization, upon termination of individual employment, retains access to organizational information systems formerly controlled by terminated individual.
PS-4.10 - CCI-003025
The organization defines personnel or roles to notify upon termination of individual employment.
PS-4.11 - CCI-003026
The organization defines the time period in which to notify organization-defined personnel or roles upon termination of individual employment.
PS-4.9 - CCI-003016
The organization, upon termination of individual employment, notifies organization-defined personnel or roles within an organization-defined time period.
Related Controls
  1. AC-2 - Account Management
  2. IA-4 - Identifier Management
  3. PE-2 - Physical Access Authorizations
  4. PS-5 - Personnel Transfer
  5. PS-6 - Access Agreements
Enhancements
PS-4 (1) - Post-Employment Requirements
The organization:
PS-4 (2) - Automated Notification
The organization employs automated mechanisms to notify [Assignment: organization-defined personnel or roles] upon termination of an individual.
PERSONNEL TRANSFER
RMF Control
PS-5
Subject Area
PERSONNEL SECURITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PS-5a.
Reviews and confirms ongoing operational need for current logical and physical access authorizations to information systems/facilities when individuals are reassigned or transferred to other positions within the organization;
PS-5b.
Initiates [Assignment: organization-defined transfer or reassignment actions] within [Assignment: organization-defined time period following the formal transfer action];
PS-5c.
Modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer; and
PS-5d.
Notifies [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: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing information system accounts and establishing new accounts; (iii) changing information system access authorizations (i.e., privileges); and (iv) providing for access to official records to which individuals had access at previous work locations and in previous information system accounts.
Assessment Procedures
PS-5.1 - CCI-001527
The organization reviews and confirms ongoing operational need for current logical and physical access authorizations to information systems/facilities when individuals are reassigned or transferred to other positions within the organization.
PS-5.2 - CCI-001528
The organization initiates organization-defined transfer or reassignment actions within an organization-defined time period following the formal personnel transfer action.
PS-5.3 - CCI-001529
The organization defines transfer or reassignment actions to initiate within an organization-defined time period following the formal personnel transfer action.
PS-5.4 - CCI-001530
The organization defines the time period within which the organization initiates organization-defined transfer or reassignment actions, following the formal personnel transfer action.
PS-5.5 - CCI-003031
The organization modifies access authorization as needed to correspond with any changes in operational need due to reassignment or transfer.
PS-5.6 - CCI-003032
The organization notifies organization-defined personnel or roles within an organization-defined time period when individuals are transferred or reassigned to other positions within the organization.
PS-5.7 - CCI-003033
The organization defines personnel or roles to be notified when individuals are transferred or reassigned to other positions within the organization.
PS-5.8 - CCI-003034
The organization defines the time period within which organization-defined personnel or roles are to be notified when individuals are transferred or reassigned to other positions within the organization.
Related Controls
  1. AC-2 - Account Management
  2. IA-4 - Identifier Management
  3. PE-2 - Physical Access Authorizations
  4. PS-4 - Personnel Termination
Enhancements
ACCESS AGREEMENTS
RMF Control
PS-6
Subject Area
PERSONNEL SECURITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PS-6a.
Develops and documents access agreements for organizational information systems;
PS-6b.
Reviews and updates the access agreements [Assignment: organization-defined frequency]; and
PS-6c.
Ensures that individuals requiring access to organizational information and information systems:
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 information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.
Assessment Procedures
PS-6.1 - CCI-003035
The organization develops and documents access agreements for organizational information systems.
PS-6.3 - CCI-001533
The organization defines the frequency to review and update the access agreements.
PS-6.2 - CCI-001532
The organization reviews and updates the access agreements in accordance with organization-defined frequency.
PS-6.4 - CCI-001531
The organization ensures that individuals requiring access to organizational information and information systems sign appropriate access agreements prior to being granted access.
PS-6.6 - CCI-003037
The organization defines the frequency for individuals requiring access to organization information and information systems to re-sign access agreements.
PS-6.5 - CCI-003036
The organization ensures that individuals requiring access to organizational information and information systems re-sign access agreements to maintain access to organizational information systems when access agreements have been updated or in accordance with organization-defined frequency.
Related Controls
  1. PL-4 - Rules Of Behavior
  2. PS-2 - Position Risk Designation
  3. PS-3 - Personnel Screening
  4. PS-4 - Personnel Termination
  5. PS-8 - Personnel Sanctions
Enhancements
PS-6 (1) - Information Requiring Special Protection
[Withdrawn: Incorporated into PS-3].
PS-6 (2) - Classified Information Requiring Special Protection
The organization ensures that access to classified information requiring special protection is granted only to individuals who:
PS-6 (3) - Post-Employment Requirements
The organization:
THIRD-PARTY PERSONNEL SECURITY
RMF Control
PS-7
Subject Area
PERSONNEL SECURITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PS-7a.
Establishes personnel security requirements including security roles and responsibilities for third-party providers;
PS-7b.
Requires third-party providers to comply with personnel security policies and procedures established by the organization;
PS-7c.
Documents personnel security requirements;
PS-7d.
Requires third-party providers to notify [Assignment: organization-defined personnel or roles] of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges within [Assignment: organization-defined time period]; and
PS-7e.
Monitors provider compliance.
Supplemental Guidance
Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. Third-party providers may have personnel working at organizational facilities with credentials, badges, or information system privileges issued by organizations. Notifications of third-party personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated.
Assessment Procedures
PS-7.1 - CCI-001539
The organization establishes personnel security requirements including security roles and responsibilities for third-party providers.
PS-7.2 - CCI-003040
The organization requires third-party providers to comply with personnel security policies and procedures established by the organization.
PS-7.3 - CCI-001540
The organization documents personnel security requirements for third-party providers.
PS-7.5 - CCI-003042
The organization defines personnel or roles whom third-party providers are to notify when third-party personnel who possess organizational credentials and /or badges or who have information system privileges are transferred or terminated.
PS-7.6 - CCI-003043
The organization defines the time period for third-party providers to notify organization-defined personnel or roles when third-party personnel who possess organizational credentials and /or badges or who have information system privileges are transferred or terminated.
PS-7.4 - CCI-003041
The organization requires third-party providers to notify organization-defined personnel or roles of any personnel transfers or terminations of third-party personnel who possess organizational credentials and/or badges, or who have information system privileges within an organization-defined time period.
PS-7.7 - CCI-001541
The organization monitors third-party provider compliance with personnel security requirements.
Related Controls
  1. PS-2 - Position Risk Designation
  2. PS-3 - Personnel Screening
  3. PS-4 - Personnel Termination
  4. PS-5 - Personnel Transfer
  5. PS-6 - Access Agreements
  6. SA-9 - External Information System Services
  7. SA-21 - Developer Screening
References
Enhancements
PERSONNEL SANCTIONS
RMF Control
PS-8
Subject Area
PERSONNEL SECURITY
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
PS-8a.
Employs a formal sanctions process for individuals failing to comply with established information security policies and procedures; and
PS-8b.
Notifies [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 sanction.
Supplemental Guidance
Organizational sanctions processes reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.
Assessment Procedures
PS-8.1 - CCI-001542
The organization employs a formal sanctions process for individuals failing to comply with established information security policies and procedures.
PS-8.2 - CCI-003046
The organization defines the time period to notify organization-defined personnel or roles when a formal employee sanctions process is initiated.
PS-8.3 - CCI-003044
The organization notifies organization-defined personnel or roles within an organization-defined time period when a formal employee sanctions process is initiated, identifying the individual sanctioned and the reason for the sanction.
PS-8.4 - CCI-003045
The organization defines personnel or roles whom are to be notified when a formal employee sanctions process is initiated.
Related Controls
  1. PL-4 - Rules Of Behavior
  2. PS-6 - Access Agreements
Enhancements
RISK ASSESSMENT POLICY AND PROCEDURES
RMF Control
RA-1
Subject Area
RISK ASSESSMENT
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
RA-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
RA-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the RA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
RA-1.1 - CCI-002368
The organization defines the personnel or roles to whom the risk assessment policy is disseminated.
RA-1.2 - CCI-002369
The organization defines the personnel or roles to whom the risk assessment procedures are disseminated.
RA-1.3 - CCI-001037
The organization develops and documents a risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
RA-1.4 - CCI-001038
The organization disseminates a risk assessment policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance to organization-defined personnel or roles.
RA-1.5 - CCI-001041
The organization develops and documents procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls.
RA-1.6 - CCI-001042
The organization disseminates risk assessment procedures to facilitate the implementation of the risk assessment policy and associated risk assessment controls to organization-defined personnel or roles.
RA-1.7 - CCI-001039
The organization reviews and updates the current risk assessment policy in accordance with organization-defined frequency.
RA-1.8 - CCI-001040
The organization defines the frequency to review and update the current risk assessment policy.
RA-1.9 - CCI-001043
The organization reviews and updates the current risk assessment procedures in accordance with organization-defined frequency.
RA-1.10 - CCI-001044
The organization defines the frequency to review and update the current risk assessment procedures.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
SECURITY CATEGORIZATION
RMF Control
RA-2
Subject Area
RISK ASSESSMENT
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
RA-2a.
Categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
RA-2b.
Documents the security categorization results (including supporting rationale) in the security plan for the information system; and
RA-2c.
Ensures that the authorizing official or authorizing official designated representative reviews and approves the security categorization decision.
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 information systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of chief information officers, senior information security officers, information system owners, mission/business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes carried out by organizations facilitate the development of inventories of information assets, and along with CM-8, mappings to specific information system components where information is processed, stored, or transmitted.
Assessment Procedures
RA-2.1 - CCI-001045
The organization categorizes information and the information system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
RA-2.2 - CCI-001046
The organization documents the security categorization results (including supporting rationale) in the security plan for the information system.
RA-2.3 - CCI-001047
The organization ensures the security categorization decision is reviewed and approved by the authorizing official or authorizing official designated representative.
Related Controls
  1. CM-8 - Information System Component Inventory
  2. MP-4 - Media Storage
  3. RA-3 - Risk Assessment
  4. SC-7 - Boundary Protection
References
Enhancements
RISK ASSESSMENT
RMF Control
RA-3
Subject Area
RISK ASSESSMENT
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
RA-3a.
Conducts an assessment of risk, including the likelihood and magnitude of harm, from the unauthorized access, use, disclosure, disruption, modification, or destruction of the information system and the information it processes, stores, or transmits;
RA-3b.
Documents risk assessment results in [Selection: security plan; risk assessment report; [Assignment: organization-defined document]];
RA-3c.
Reviews risk assessment results [Assignment: organization-defined frequency];
RA-3d.
Disseminates risk assessment results to [Assignment: organization-defined personnel or roles]; and
RA-3e.
Updates the risk assessment [Assignment: organization-defined frequency] or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.
Supplemental Guidance
Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also take into account risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems. Risk assessments (either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation.
Assessment Procedures
RA-3.1 - CCI-001048
The organization conducts an assessment of risk of the information system and the information it processes, stores, or transmits that includes the likelihood and magnitude of harm from the unauthorized access, use, disclosure, disruption, modification, or destruction.
RA-3.3 - CCI-001642
The organization defines the organizational document in which risk assessment results are documented (e.g., security plan, risk assessment report).
RA-3.2 - CCI-001049
The organization documents risk assessment results in the organization-defined document.
RA-3.4 - CCI-001050
The organization reviews risk assessment results on an organization-defined frequency.
RA-3.5 - CCI-001051
The organization defines a frequency for reviewing risk assessment results.
RA-3.7 - CCI-002371
The organization defines the personnel or roles whom the risk assessment results will be disseminated.
RA-3.6 - CCI-002370
The organization disseminates risk assessment results to organization-defined personnel or roles.
RA-3.8 - CCI-001052
The organization updates the risk assessment on an organization-defined frequency or whenever there are significant changes to the information system or environment of operation (including the identification of new threats and vulnerabilities), or other conditions that may impact the security state of the system.
RA-3.9 - CCI-001053
The organization defines a frequency for updating the risk assessment.
Related Controls
  1. RA-2 - Security Categorization
  2. PM-9 - Risk Management Strategy
References
Enhancements
RISK ASSESSMENT UPDATE
RMF Control
RA-4
Subject Area
RISK ASSESSMENT
Baseline Areas
Requirements
[Withdrawn: Incorporated into RA-3].
Supplemental Guidance
Assessment Procedures
Related Controls
Enhancements
VULNERABILITY SCANNING
RMF Control
RA-5
Subject Area
RISK ASSESSMENT
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
RA-5a.
Scans for vulnerabilities in the information 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/applications are identified and reported;
RA-5b.
Employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for:
RA-5c.
Analyzes vulnerability scan reports and results from security control assessments;
RA-5d.
Remediates legitimate vulnerabilities [Assignment: organization-defined response times] in accordance with an organizational assessment of risk; and
RA-5e.
Shares information obtained from the vulnerability scanning process and security control assessments with [Assignment: organization-defined personnel or roles] to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).
Supplemental Guidance
Security categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).
Assessment Procedures
RA-5.2 - CCI-001055
The organization defines a frequency for scanning for vulnerabilities in the information system and hosted applications.
RA-5.1 - CCI-001054
The organization scans for vulnerabilities in the information system and hosted applications on an organization-defined frequency.
RA-5.3 - CCI-001056
The organization scans for vulnerabilities in the information system and hosted applications when new vulnerabilities potentially affecting the system/applications are identified and reported.
RA-5.4 - CCI-001641
The organization defines the process for conducting random vulnerability scans on the information system and hosted applications.
RA-5.5 - CCI-001643
The organization scans for vulnerabilities in the information system and hosted applications in accordance with the organization-defined process for random scans.
RA-5.6 - CCI-001057
The organization employs vulnerability scanning tools and techniques that facilitate interoperability among tools and automate parts of the vulnerability management process by using standards for: enumerating platforms, software flaws, and improper configurations; formatting checklists and test procedures; and measuring vulnerability impact.
RA-5.7 - CCI-001058
The organization analyzes vulnerability scan reports and results from security control assessments.
RA-5.8 - CCI-001059
The organization remediates legitimate vulnerabilities in organization-defined response times in accordance with an organizational assessment risk.
RA-5.9 - CCI-001060
The organization defines response times for remediating legitimate vulnerabilities in accordance with an organization assessment of risk.
RA-5.11 - CCI-002376
The organization defines the personnel or roles whom the information obtained from the vulnerability scanning process and security control assessments will be shared.
RA-5.10 - CCI-001061
The organization shares information obtained from the vulnerability scanning process and security control assessments with organization-defined personnel or roles to help eliminate similar vulnerabilities in other information systems (i.e., systemic weaknesses or deficiencies).
Related Controls
  1. CA-2 - Security Assessments
  2. CA-7 - Continuous Monitoring
  3. CM-4 - Security Impact Analysis
  4. CM-6 - Configuration Settings
  5. RA-2 - Security Categorization
  6. RA-3 - Risk Assessment
  7. SA-11 - Developer Security Testing And Evaluation
  8. SI-2 - Flaw Remediation
References
Enhancements
RA-5 (1) - Update Tool Capability
The organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned.
RA-5 (2) - Update By Frequency / Prior To New Scan / When Identified
The organization updates the information system vulnerabilities scanned [Selection (one or more): [Assignment: organization-defined frequency]; prior to a new scan; when new vulnerabilities are identified and reported].
RA-5 (3) - Breadth / Depth Of Coverage
The organization employs vulnerability scanning procedures that can identify the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked).
RA-5 (4) - Discoverable Information
The organization determines what information about the information system is discoverable by adversaries and subsequently takes [Assignment: organization-defined corrective actions].
RA-5 (5) - Privileged Access
The information system implements privileged access authorization to [Assignment: organization-identified information system components] for selected [Assignment: organization-defined vulnerability scanning activities].
RA-5 (6) - Automated Trend Analyses
The organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities.
RA-5 (7) - Automated Detection And Notification Of Unauthorized Components
[Withdrawn: Incorporated into CM-8].
RA-5 (8) - Review Historic Audit Logs
The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited.
RA-5 (9) - Penetration Testing And Analyses
[Withdrawn: Incorporated into CA-8].
RA-5 (10) - Correlate Scanning Information
The organization correlates the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.
TECHNICAL SURVEILLANCE COUNTERMEASURES SURVEY
RMF Control
RA-6
Subject Area
RISK ASSESSMENT
Baseline Areas
Requirements
The organization employs 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 to detect the presence of technical surveillance devices/hazards and to identify technical security weaknesses that could aid in the conduct of technical penetrations of surveyed facilities. Such surveys provide evaluations of the technical security postures of organizations and facilities and typically include thorough visual, electronic, and physical examinations in and about surveyed facilities. The surveys also provide useful input into risk assessments and organizational exposure to potential adversaries.
Assessment Procedures
RA-6.1 - CCI-003119
The organization employs a technical surveillance countermeasures survey at organization-defined locations on an organization-defined frequency or when organization-defined events or indicators occur.
RA-6.2 - CCI-003120
The organization defines the locations where technical surveillance countermeasures surveys are to be employed.
RA-6.3 - CCI-003121
The organization defines the frequency on which to employ technical surveillance countermeasures surveys.
RA-6.4 - CCI-003122
The organization defines the events or indicators upon which technical surveillance countermeasures surveys are to be employed.
Related Controls
Enhancements
SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES
RMF Control
SA-1
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
SA-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
SA-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
SA-1.1 - CCI-003089
The organization defines the personnel or roles to whom the system and services acquisition policy is disseminated.
SA-1.2 - CCI-003090
The organization defines the personnel or roles to whom procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls are disseminated.
SA-1.4 - CCI-000602
The organization develops and documents a system and services acquisition policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.
SA-1.3 - CCI-000603
The organization disseminates to organization-defined personnel or roles a system and services acquisition policy.
SA-1.5 - CCI-000605
The organization develops and documents procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls.
SA-1.6 - CCI-000606
The organization disseminates to organization-defined personnel or roles procedures to facilitate the implementation of the system and services acquisition policy and associated system and services acquisition controls.
SA-1.7 - CCI-000601
The organization defines the frequency to review and update the current system and services acquisition policy.
SA-1.8 - CCI-000604
The organization reviews and updates the current system and services acquisition policy in accordance with organization-defined frequency.
SA-1.10 - CCI-001646
The organization defines the frequency to review and update the current system and services acquisition procedures.
SA-1.9 - CCI-000607
The organization reviews and updates the current system and services acquisition procedures in accordance with organization-defined frequency.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
ALLOCATION OF RESOURCES
RMF Control
SA-2
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
SA-2a.
Determines information security requirements for the information system or information system service in mission/business process planning;
SA-2b.
Determines, documents, and allocates the resources required to protect the information system or information system service as part of its capital planning and investment control process; and
SA-2c.
Establishes a discrete line item for information security in organizational programming and budgeting documentation.
Supplemental Guidance
Resource allocation for information security includes funding for the initial information system or information system service acquisition and funding for the sustainment of the system/service.
Assessment Procedures
SA-2.1 - CCI-003091
The organization determines information security requirements for the information system or information system service in mission/business process planning.
SA-2.2 - CCI-000610
The organization determines the resources required to protect the information system or information system service as part of its capital planning and investment control process.
SA-2.3 - CCI-000611
The organization documents the resources required to protect the information system or information system service as part of its capital planning and investment control process.
SA-2.4 - CCI-000612
The organization allocates the resources required to protect the information system or information system service as part of its capital planning and investment control process.
SA-2.5 - CCI-000613
The organization establishes a discrete line item for information security in organizational programming documentation.
SA-2.6 - CCI-000614
The organization establishes a discrete line item for information security in organizational budgeting documentation.
Related Controls
  1. PM-3 - Information Security Resources
  2. PM-11 - Mission/Business Process Definition
References
Enhancements
SYSTEM DEVELOPMENT LIFE CYCLE
RMF Control
SA-3
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
SA-3a.
Manages the information system using [Assignment: organization-defined system development life cycle] that incorporates information security considerations;
SA-3b.
Defines and documents information security roles and responsibilities throughout the system development life cycle;
SA-3c.
Identifies individuals having information security roles and responsibilities; and
SA-3d.
Integrates the organizational information security risk management process into system development life cycle activities.
Supplemental Guidance
A well-defined system development life cycle provides the foundation for the successful development, implementation, and operation of organizational information systems. To apply the required security controls within the system development life cycle requires a basic understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical missions/business functions. The security engineering principles in SA-8 cannot be properly applied if individuals that design, code, and test information systems and system components (including information technology products) do not understand security. Therefore, organizations include qualified personnel, for example, chief information security officers, security architects, security engineers, and information system security officers in system development life cycle activities to ensure that security requirements are incorporated into organizational information systems. It is equally important that developers include individuals on the development team that possess the requisite security expertise and skills to ensure that needed security capabilities are effectively integrated into the information system. Security awareness and training programs can help ensure that individuals having key security roles and responsibilities have the appropriate experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security requirements into enterprise architecture also helps to ensure that important security considerations are addressed early in the system development life cycle and that those considerations are directly related to the organizational mission/business processes. This process also facilitates the integration of the information security architecture into the enterprise architecture, consistent with organizational risk management and information security strategies.
Assessment Procedures
SA-3.2 - CCI-003092
The organization defines a system development life cycle that is used to manage the information system.
SA-3.1 - CCI-000615
The organization manages the information system using organization-defined system development life cycle that incorporates information security considerations.
SA-3.3 - CCI-000616
The organization defines and documents information system security roles and responsibilities throughout the system development life cycle.
SA-3.4 - CCI-000618
The organization identifies individuals having information system security roles and responsibilities.
SA-3.5 - CCI-003093
The organization integrates the organizational information security risk management process into system development life cycle activities.
Related Controls
  1. AT-3 - Role-Based Security Training
  2. PM-7 - Enterprise Architecture
  3. SA-8 - Security Engineering Principles
References
Enhancements
ACQUISITION PROCESS
RMF Control
SA-4
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:
SA-4a.
Security functional requirements;
SA-4b.
Security strength requirements;
SA-4c.
Security assurance requirements;
SA-4d.
Security-related documentation requirements;
SA-4e.
Requirements for protecting security-related documentation;
SA-4f.
Description of the information system development environment and environment in which the system is intended to operate; and
SA-4g.
Acceptance criteria.
Supplemental Guidance
Information system components are discrete, identifiable information technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an information system. Information system components include commercial information technology products. Security functional requirements include security capabilities, security functions, and security mechanisms. Security strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to direct attack, and resistance to tampering or bypass. Security assurance requirements include: (i) development processes, procedures, practices, and methodologies; and (ii) evidence from development and assessment activities providing grounds for confidence that the required security functionality has been implemented and the required security strength has been achieved. Security documentation requirements address all phases of the system development life cycle. Security functionality, assurance, and documentation requirements are expressed in terms of security controls and control enhancements that have been selected through the tailoring process. The security control tailoring process includes, for example, the specification of parameter values through the use of assignment and selection statements and the specification of platform dependencies and implementation information. Security documentation provides user and administrator guidance regarding the implementation and operation of security controls. The level of detail required in security documentation is based on the security category or classification level of the information system and the degree to which organizations depend on the stated security capability, functions, or mechanisms to meet overall risk response expectations (as defined in the organizational risk management strategy). Security requirements can also include organizationally mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for information systems, information system components, and information system services are defined in the same manner as such criteria for any organizational acquisition or procurement. The Federal Acquisition Regulation (FAR) Section 7.103 contains information security requirements from FISMA.
Assessment Procedures
SA-4.1 - CCI-003094
The organization includes the security functional requirements, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs.
SA-4.2 - CCI-003095
The organization includes the security strength requirements, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs.
SA-4.3 - CCI-003096
The organization includes the security assurance requirements, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs.
SA-4.4 - CCI-003097
The organization includes the security-related documentation requirements, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs.
SA-4.5 - CCI-003098
The organization includes requirements for protecting security-related documentation, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs.
SA-4.6 - CCI-003099
The organization includes description of the information system development environment and environment in which the system is intended to operate, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs.
SA-4.7 - CCI-003100
The organization includes acceptance criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs.
Related Controls
  1. CM-6 - Configuration Settings
  2. PL-2 - System Security Plan
  3. PS-7 - Third-Party Personnel Security
  4. SA-3 - System Development Life Cycle
  5. SA-5 - Information System Documentation
  6. SA-8 - Security Engineering Principles
  7. SA-11 - Developer Security Testing And Evaluation
  8. SA-12 - Supply Chain Protection
References
Enhancements
SA-4 (1) - Functional Properties Of Security Controls
The organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed.
SA-4 (2) - Design / Implementation Information For Security Controls
The organization requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes: [Selection (one or more): security-relevant external system interfaces; high-level design; low-level design; source code or hardware schematics; [Assignment: organization-defined design/implementation information]] at [Assignment: organization-defined level of detail].
SA-4 (3) - Development Methods / Techniques / Practices
The organization requires the developer of the information system, system component, or information system service to demonstrate the use of a system development life cycle that includes [Assignment: organization-defined state-of-the-practice system/security engineering methods, software development methods, testing/evaluation/validation techniques, and quality control processes].
SA-4 (4) - Assignment Of Components To Systems
[Withdrawn: Incorporated into CM-8 (9)].
SA-4 (5) - System / Component / Service Configurations
The organization requires the developer of the information system, system component, or information system service to:
SA-4 (6) - Use Of Information Assurance Products
The organization:
SA-4 (7) - Niap-Approved Protection Profiles
The organization:
SA-4 (8) - Continuous Monitoring Plan
The organization requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains [Assignment: organization-defined level of detail].
SA-4 (9) - Functions / Ports / Protocols / Services In Use
The organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle, the functions, ports, protocols, and services intended for organizational use.
SA-4 (10) - Use Of Approved Piv Products
The organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems.
INFORMATION SYSTEM DOCUMENTATION
RMF Control
SA-5
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
SA-5a.
Obtains administrator documentation for the information system, system component, or information system service that describes:
SA-5b.
Obtains user documentation for the information system, system component, or information system service that describes:
SA-5c.
Documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent and takes [Assignment: organization-defined actions] in response;
SA-5d.
Protects documentation as required, in accordance with the risk management strategy; and
SA-5e.
Distributes documentation to [Assignment: organization-defined personnel or roles].
Supplemental Guidance
This control helps organizational personnel understand the implementation and operation of security controls associated with information systems, system components, and information system services. Organizations consider establishing specific measures to determine the quality/completeness of the content provided. The inability to obtain needed documentation may occur, for example, due to the age of the information system/component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the effective implementation or operation of security controls. The level of protection provided for selected information system, component, or service documentation is commensurate with the security category or classification of the system. For example, documentation associated with a key DoD weapons system or command and control system would typically require a higher level of protection than a routine administrative system. Documentation that addresses information system vulnerabilities may also require an increased level of protection. Secure operation of the information system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.
Assessment Procedures
SA-5.1 - CCI-003124
The organization obtains administrator documentation for the information system, system component, or information system services that describes secure configuration of the system, component, or service.
SA-5.2 - CCI-003125
The organization obtains administrator documentation for the information system, system component, or information system services that describes secure installation of the system, component, or service.
SA-5.3 - CCI-003126
The organization obtains administrator documentation for the information system, system component, or information system services that describes secure operation of the system, component, or service.
SA-5.4 - CCI-003127
The organization obtains administrator documentation for the information system, system component, or information system services that describes effective use and maintenance of security functions/mechanisms.
SA-5.5 - CCI-003128
The organization obtains administrator documentation for the information system, system component, or information system services that describes known vulnerabilities regarding configuration and use of administrative (i.e. privileged) functions.
SA-5.6 - CCI-003129
The organization obtains user documentation for the information system, system component, or information system service that describes user-accessible security functions/mechanisms and how to effectively use those security functions/mechanisms.
SA-5.7 - CCI-003130
The organization obtains user documentation for the information system, system component or information system service that describes methods for user interaction which enables individuals to use the system, component, or service in a more secure manner.
SA-5.8 - CCI-003131
The organization obtains user documentation for the information system, system component or information system service that describes user responsibilities in maintaining the security of the system, component, or service.
SA-5.11 - CCI-000642
The organization documents attempts to obtain information system, system component, or information system service documentation when such documentation is either unavailable or nonexistent.
SA-5.9 - CCI-003132
The organization takes organization-defined actions in response to attempts to obtain either unavailable or nonexistent documentation for information system, system component, or information system service.
SA-5.10 - CCI-003133
The organization defines actions to be taken in response to attempts to obtain either unavailable or nonexistent documentation for information system, system component, or information system service.
SA-5.12 - CCI-003134
The organization protects information system, system component, or information system service documentation as required, in accordance with the risk management strategy.
SA-5.13 - CCI-003135
The organization distributes information system, system component, or information system service documentation to organization-defined personnel or roles.
SA-5.14 - CCI-003136
The organization defines the personnel or roles the information system, system component, or information system service documentation is to be distributed.
Related Controls
  1. CM-6 - Configuration Settings
  2. CM-8 - Information System Component Inventory
  3. PL-2 - System Security Plan
  4. PL-4 - Rules Of Behavior
  5. PS-2 - Position Risk Designation
  6. SA-3 - System Development Life Cycle
  7. SA-4 - Acquisition Process
Enhancements
SA-5 (1) - Functional Properties Of Security Controls
[Withdrawn: Incorporated into SA-4 (1)].
SA-5 (2) - Security-Relevant External System Interfaces
[Withdrawn: Incorporated into SA-4 (2)].
SA-5 (3) - High-Level Design
[Withdrawn: Incorporated into SA-4 (2)].
SA-5 (4) - Low-Level Design
[Withdrawn: Incorporated into SA-4 (2)].
SA-5 (5) - Source Code
[Withdrawn: Incorporated into SA-4 (2)].
SOFTWARE USAGE RESTRICTIONS
RMF Control
SA-6
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
Requirements
[Withdrawn: Incorporated into CM-10 and SI-7].
Supplemental Guidance
Assessment Procedures
Related Controls
Enhancements
USER-INSTALLED SOFTWARE
RMF Control
SA-7
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
Requirements
[Withdrawn: Incorporated into CM-11 and SI-7].
Supplemental Guidance
Assessment Procedures
Related Controls
Enhancements
SECURITY ENGINEERING PRINCIPLES
RMF Control
SA-8
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
MODERATE, HIGH
Requirements
The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system.
Supplemental Guidance
Organizations apply security engineering principles primarily to new development information systems or systems undergoing major upgrades. For legacy systems, organizations apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware within those systems. Security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security requirements into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring that system developers are trained on how to build secure software; (vi) tailoring security controls to meet organizational and operational needs; (vii) performing threat modeling to identify use cases, threat agents, attack vectors, and attack patterns as well as compensating controls and design patterns needed to mitigate risk; and (viii) reducing risk to acceptable levels, thus enabling informed risk management decisions.
Assessment Procedures
SA-8.1 - CCI-000664
The organization applies information system security engineering principles in the specification of the information system.
SA-8.2 - CCI-000665
The organization applies information system security engineering principles in the design of the information system.
SA-8.3 - CCI-000666
The organization applies information system security engineering principles in the development of the information system.
SA-8.4 - CCI-000667
The organization applies information system security engineering principles in the implementation of the information system.
SA-8.5 - CCI-000668
The organization applies information system security engineering principles in the modification of the information system.
Related Controls
  1. PM-7 - Enterprise Architecture
  2. SA-3 - System Development Life Cycle
  3. SA-4 - Acquisition Process
  4. SA-17 - Developer Security Architecture And Design
  5. SC-2 - Application Partitioning
  6. SC-3 - Security Function Isolation
References
Enhancements
EXTERNAL INFORMATION SYSTEM SERVICES
RMF Control
SA-9
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
SA-9a.
Requires that providers of external information system services comply with organizational information security requirements and employ [Assignment: organization-defined security controls] in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance;
SA-9b.
Defines and documents government oversight and user roles and responsibilities with regard to external information system services; and
SA-9c.
Employs [Assignment: organization-defined processes, methods, and techniques] to monitor security control compliance by external service providers on an ongoing basis.
Supplemental Guidance
External information system services are services that are implemented outside of the authorization boundaries of organizational information systems. This includes services that are used by, but not a part of, organizational information systems. FISMA and OMB policy require that organizations using external service providers that are processing, storing, or transmitting federal information or operating information systems on behalf of the federal government ensure that such providers meet the same security requirements that federal agencies are required to meet. Organizations establish relationships with external service providers in a variety of ways including, for example, through joint ventures, business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, and supply chain exchanges. The responsibility for managing risks from the use of external information system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External information system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for security controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.
Assessment Procedures
SA-9.3 - CCI-003137
The organization defines security controls that providers of external information system services employ in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
SA-9.1 - CCI-000669
The organization requires that providers of external information system services comply with organizational information security requirements.
SA-9.2 - CCI-000670
The organization requires that providers of external information system services employ organization-defined security controls in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
SA-9.4 - CCI-000671
The organization defines government oversight with regard to external information system services.
SA-9.5 - CCI-000672
The organization documents government oversight with regard to external information system services.
SA-9.6 - CCI-000673
The organization defines user roles and responsibilities with regard to external information system services.
SA-9.7 - CCI-000674
The organization documents user roles and responsibilities with regard to external information system services.
SA-9.8 - CCI-003138
The organization employs organization-defined processes, methods, and techniques to monitor security control compliance by external service providers on an ongoing basis.
SA-9.9 - CCI-003139
The organization defines processes, methods, and techniques to employ to monitor security control compliance by external service providers on an ongoing basis.
Related Controls
  1. CA-3 - System Interconnections
  2. IR-7 - Incident Response Assistance
  3. PS-7 - Third-Party Personnel Security
References
Enhancements
SA-9 (1) - Risk Assessments / Organizational Approvals
The organization:
SA-9 (2) - Identification Of Functions / Ports / Protocols / Services
The organization requires providers of [Assignment: organization-defined external information system services] to identify the functions, ports, protocols, and other services required for the use of such services.
SA-9 (3) - Establish / Maintain Trust Relationship With Providers
The organization establishes, documents, and maintains trust relationships with external service providers based on [Assignment: organization-defined security requirements, properties, factors, or conditions defining acceptable trust relationships].
SA-9 (4) - Consistent Interests Of Consumers And Providers
The organization employs [Assignment: organization-defined security safeguards] to ensure that the interests of [Assignment: organization-defined external service providers] are consistent with and reflect organizational interests.
SA-9 (5) - Processing, Storage, And Service Location
The organization restricts the location of [Selection (one or more): information processing; information/data; information system services] to [Assignment: organization-defined locations] based on [Assignment: organization-defined requirements or conditions].
DEVELOPER CONFIGURATION MANAGEMENT
RMF Control
SA-10
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
MODERATE, HIGH
Requirements
The organization requires the developer of the information system, system component, or information system service to:
SA-10a.
Perform configuration management during system, component, or service [Selection (one or more): design; development; implementation; operation];
SA-10b.
Document, manage, and control the integrity of changes to [Assignment: organization-defined configuration items under configuration management];
SA-10c.
Implement only organization-approved changes to the system, component, or service;
SA-10d.
Document approved changes to the system, component, or service and the potential security impacts of such changes; and
SA-10e.
Track security flaws and flaw resolution within the system, component, or service and report findings to [Assignment: organization-defined personnel].
Supplemental Guidance
This control also applies to organizations conducting internal information systems development and integration. Organizations consider the quality and completeness of the configuration management activities conducted by developers as evidence of applying effective security safeguards. Safeguards include, for example, protecting from unauthorized modification or destruction, the master copies of all material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the information system, information system component, or information system service requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. Configuration items that are placed under configuration management (if existence/use is required by other security controls) include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and software/firmware source code with previous versions; and test fixtures and documentation. Depending on the mission/business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the life cycle.
Assessment Procedures
SA-10.1 - CCI-003155
The organization requires the developer of the information system, system component, or information system service to perform configuration management during system, component or service design, development, implementation and/or operation.
SA-10.2 - CCI-003156
The organization requires the developer of the information system, system component, or information system service to document the integrity of changes to organization-defined configuration items under configuration management.
SA-10.3 - CCI-003157
The organization requires the developer of the information system, system component, or information system service to manage the integrity of changes to organization-defined configuration items under configuration management.
SA-10.4 - CCI-003158
The organization requires the developer of the information system, system component, or information system service to control the integrity of changes to organization-defined configuration items under configuration management.
SA-10.5 - CCI-003159
The organization defines the configuration items under configuration management that require the integrity of changes to be documented, managed and controlled.
SA-10.6 - CCI-000692
The organization requires the developer of the information system, system component, or information system service to implement only organization-approved changes to the system, component, or service.
SA-10.7 - CCI-000694
The organization requires the developer of the information system, system component, or information system service to document approved changes to the system, component, or service.
SA-10.8 - CCI-003160
The organization requires the developer of the information system, system component, or information system service to document the potential security impacts of approved changes to the system, component, or service.
SA-10.9 - CCI-003161
The organization requires the developer of the information system, system component, or information system service to track security flaws within the system, component, or service.
SA-10.10 - CCI-003162
The organization requires the developer of the information system, system component, or information system service to track flaw resolution within the system, component, or service.
SA-10.11 - CCI-003163
The organization requires the developer of the information system, system component, or information system service to report security flaws and flaw resolution within the system, component, or service findings to organization-defined personnel.
SA-10.12 - CCI-003164
The organization defines the personnel to whom security flaw findings and flaw resolution within the system, component, or service are reported.
Related Controls
  1. CM-3 - Configuration Change Control
  2. CM-4 - Security Impact Analysis
  3. CM-9 - Configuration Management Plan
  4. SA-12 - Supply Chain Protection
  5. SI-2 - Flaw Remediation
References
Enhancements
SA-10 (1) - Software / Firmware Integrity Verification
The organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components.
SA-10 (2) - Alternative Configuration Management Processes
The organization provides an alternate configuration management process using organizational personnel in the absence of a dedicated developer configuration management team.
SA-10 (3) - Hardware Integrity Verification
The organization requires the developer of the information system, system component, or information system service to enable integrity verification of hardware components.
SA-10 (4) - Trusted Generation
The organization requires the developer of the information system, system component, or information system service to employ tools for comparing newly generated versions of security-relevant hardware descriptions and software/firmware source and object code with previous versions.
SA-10 (5) - Mapping Integrity For Version Control
The organization requires the developer of the information system, system component, or information system service to maintain the integrity of the mapping between the master build data (hardware drawings and software/firmware code) describing the current version of security-relevant hardware, software, and firmware and the on-site master copy of the data for the current version.
SA-10 (6) - Trusted Distribution
The organization requires the developer of the information system, system component, or information system service to execute procedures for ensuring that security-relevant hardware, software, and firmware updates distributed to the organization are exactly as specified by the master copies.
DEVELOPER SECURITY TESTING AND EVALUATION
RMF Control
SA-11
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
MODERATE, HIGH
Requirements
The organization requires the developer of the information system, system component, or information system service to:
SA-11a.
Create and implement a security assessment plan;
SA-11b.
Perform [Selection (one or more): unit; integration; system; regression] testing/evaluation at [Assignment: organization-defined depth and coverage];
SA-11c.
Produce evidence of the execution of the security assessment plan and the results of the security testing/evaluation;
SA-11d.
Implement a verifiable flaw remediation process; and
SA-11e.
Correct flaws identified during security testing/evaluation.
Supplemental Guidance
Developmental security testing/evaluation occurs at all post-design phases of the system development life cycle. Such testing/evaluation confirms that the required security controls are implemented correctly, operating as intended, enforcing the desired security policy, and meeting established security requirements. Security properties of information systems may be affected by the interconnection of system components or changes to those components. These interconnections or changes (e.g., upgrading or replacing applications and operating systems) may adversely affect previously implemented security controls. This control provides additional types of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of security testing/evaluation refers to the rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security assessment plans, flaw remediation processes, and the evidence that the plans/processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.
Assessment Procedures
SA-11.1 - CCI-003171
The organization requires the developer of the information system, system component, or information system service to create a security assessment plan.
SA-11.2 - CCI-003172
The organization requires the developer of the information system, system component, or information system service to implement a security assessment plan.
SA-11.3 - CCI-003173
The organization requires the developer of the information system, system component, or information system service to perform unit, integration, system, and/or regression testing/evaluation at organization-defined depth and coverage.
SA-11.4 - CCI-003174
The organization defines the depth and coverage to perform unit, integration, system, and/or regression testing/evaluation.
SA-11.5 - CCI-003175
The organization requires the developer of the information system, system component, or information system service to produce evidence of the execution of the security assessment plan.
SA-11.6 - CCI-003176
The organization requires the developer of the information system, system component, or information system service to produce the results of the security testing/evaluation.
SA-11.7 - CCI-003177
The organization requires the developer of the information system, system component, or information system service to implement a verifiable flaw remediation process.
SA-11.8 - CCI-003178
The organization requires the developer of the information system, system component, or information system service to correct flaws identified during security testing/evaluation.
Related Controls
  1. CA-2 - Security Assessments
  2. CM-4 - Security Impact Analysis
  3. SA-3 - System Development Life Cycle
  4. SA-4 - Acquisition Process
  5. SA-5 - Information System Documentation
  6. SI-2 - Flaw Remediation
References
Enhancements
SA-11 (1) - Static Code Analysis
The organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis.
SA-11 (2) - Threat And Vulnerability Analyses
The organization requires the developer of the information system, system component, or information system service to perform threat and vulnerability analyses and subsequent testing/evaluation of the as-built system, component, or service.
SA-11 (3) - Independent Verification Of Assessment Plans / Evidence
The organization:
SA-11 (4) - Manual Code Reviews
The organization requires the developer of the information system, system component, or information system service to perform a manual code review of [Assignment: organization-defined specific code] using [Assignment: organization-defined processes, procedures, and/or techniques].
SA-11 (5) - Penetration Testing
The organization requires the developer of the information system, system component, or information system service to perform penetration testing at [Assignment: organization-defined breadth/depth] and with [Assignment: organization-defined constraints].
SA-11 (6) - Attack Surface Reviews
The organization requires the developer of the information system, system component, or information system service to perform attack surface reviews.
SA-11 (7) - Verify Scope Of Testing / Evaluation
The organization requires the developer of the information system, system component, or information system service to verify that the scope of security testing/evaluation provides complete coverage of required security controls at [Assignment: organization-defined depth of testing/evaluation].
SA-11 (8) - Dynamic Code Analysis
The organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis.
SUPPLY CHAIN PROTECTION
RMF Control
SA-12
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
HIGH
Requirements
The organization protects against supply chain threats to the information system, system component, or information system service by employing [Assignment: organization-defined security safeguards] as part of a comprehensive, defense-in-breadth information security strategy.
Supplemental Guidance
Information systems (including system components that compose those systems) need to be protected throughout the system development life cycle (i.e., during design, development, manufacturing, packaging, assembly, distribution, system integration, operations, maintenance, and retirement). Protection of organizational information systems is accomplished through threat awareness, by the identification, management, and reduction of vulnerabilities at each phase of the life cycle and the use of complementary, mutually reinforcing strategies to respond to risk. Organizations consider implementing a standardized process to address supply chain risk with respect to information systems and system components, and to educate the acquisition workforce on threats, risk, and required security controls. Organizations use the acquisition/procurement processes to require supply chain entities to implement necessary security safeguards to: (i) reduce the likelihood of unauthorized modifications at each stage in the supply chain; and (ii) protect information systems and information system components, prior to taking delivery of such systems/components. This control also applies to information system services. Security safeguards include, for example: (i) security controls for development systems, development facilities, and external connections to development systems; (ii) vetting development personnel; and (iii) use of tamper-evident packaging during shipping/warehousing. Methods for reviewing and protecting development plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.
Assessment Procedures
SA-12.1 - CCI-000722
The organization defines the security safeguards to employ to protect against supply chain threats to the information system, system component, or information system service.
SA-12.2 - CCI-000723
The organization protects against supply chain threats to the information system, system component, or information system service by employing organization-defined security safeguards as part of a comprehensive, defense-in-breadth information security strategy.
Related Controls
  1. AT-3 - Role-Based Security Training
  2. CM-8 - Information System Component Inventory
  3. IR-4 - Incident Handling
  4. PE-16 - Delivery And Removal
  5. PL-8 - Information Security Architecture
  6. SA-3 - System Development Life Cycle
  7. SA-4 - Acquisition Process
  8. SA-8 - Security Engineering Principles
  9. SA-10 - Developer Configuration Management
  10. SA-14 - Criticality Analysis
  11. SA-15 - Development Process, Standards, And Tools
  12. SA-18 - Tamper Resistance And Detection
  13. SA-19 - Component Authenticity
  14. SC-29 - Heterogeneity
  15. SC-30 - Concealment And Misdirection
  16. SC-38 - Operations Security
  17. SI-7 - Software, Firmware, And Information Integrity
References
Enhancements
SA-12 (1) - Acquisition Strategies / Tools / Methods
The organization employs [Assignment: organization-defined tailored acquisition strategies, contract tools, and procurement methods] for the purchase of the information system, system component, or information system service from suppliers.
SA-12 (2) - Supplier Reviews
The organization conducts a supplier review prior to entering into a contractual agreement to acquire the information system, system component, or information system service.
SA-12 (3) - Trusted Shipping And Warehousing
[Withdrawn: Incorporated into SA-12 (1)].
SA-12 (4) - Diversity Of Suppliers
[Withdrawn: Incorporated into SA-12 (13)].
SA-12 (5) - Limitation Of Harm
The organization employs [Assignment: organization-defined security safeguards] to limit harm from potential adversaries identifying and targeting the organizational supply chain.
SA-12 (6) - Minimizing Procurement Time
[Withdrawn: Incorporated into SA-12 (1)].
SA-12 (7) - Assessments Prior To Selection / Acceptance / Update
The organization conducts an assessment of the information system, system component, or information system service prior to selection, acceptance, or update.
SA-12 (8) - Use Of All-Source Intelligence
The organization uses all-source intelligence analysis of suppliers and potential suppliers of the information system, system component, or information system service.
SA-12 (9) - Operations Security
The organization employs [Assignment: organization-defined Operations Security (OPSEC) safeguards] in accordance with classification guides to protect supply chain-related information for the information system, system component, or information system service.
SA-12 (10) - Validate As Genuine And Not Altered
The organization employs [Assignment: organization-defined security safeguards] to validate that the information system or system component received is genuine and has not been altered.
SA-12 (11) - Penetration Testing / Analysis Of Elements, Processes, And Actors
The organization employs [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 information system, system component, or information system service.
SA-12 (12) - Inter-Organizational Agreements
The organization establishes inter-organizational agreements and procedures with entities involved in the supply chain for the information system, system component, or information system service.
SA-12 (13) - Critical Information System Components
The organization employs [Assignment: organization-defined security safeguards] to ensure an adequate supply of [Assignment: organization-defined critical information system components].
SA-12 (14) - Identity And Traceability
The organization establishes and retains unique identification of [Assignment: organization-defined supply chain elements, processes, and actors] for the information system, system component, or information system service.
SA-12 (15) - Processes To Address Weaknesses Or Deficiencies
The organization establishes a process to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements.
TRUSTWORTHINESS
RMF Control
SA-13
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
Requirements
The organization:
SA-13a.
Describes the trustworthiness required in the [Assignment: organization-defined information system, information system component, or information system service] supporting its critical missions/business functions; and
SA-13b.
Implements [Assignment: organization-defined assurance overlay] to achieve such trustworthiness.
Supplemental Guidance
This control helps organizations to make explicit trustworthiness decisions when designing, developing, and implementing information systems that are needed to conduct critical organizational missions/business functions. Trustworthiness is a characteristic/property of an information system that expresses the degree to which the system can be expected to preserve the confidentiality, integrity, and availability of the information it processes, stores, or transmits. Trustworthy information systems are systems that are capable of being trusted to operate within defined levels of risk despite the environmental disruptions, human errors, and purposeful attacks that are expected to occur in the specified environments of operation. Trustworthy systems are important to mission/business success. Two factors affecting the trustworthiness of information systems include: (i) security functionality (i.e., the security features, functions, and/or mechanisms employed within the system and its environment of operation); and (ii) security assurance (i.e., the grounds for confidence that the security functionality is effective in its application). Developers, implementers, operators, and maintainers of organizational information systems can increase the level of assurance (and trustworthiness), for example, by employing well-defined security policy models, structured and rigorous hardware, software, and firmware development techniques, sound system/security engineering principles, and secure configuration settings (defined by a set of assurance-related security controls in Appendix E). Assurance is also based on the assessment of evidence produced during the system development life cycle. Critical missions/business functions are supported by high-impact systems and the associated assurance requirements for such systems. The additional assurance controls in Table E-4 in Appendix E (designated as optional) can be used to develop and implement high-assurance solutions for specific information systems and system components using the concept of overlays described in Appendix I. Organizations select assurance overlays that have been developed, validated, and approved for community adoption (e.g., cross-organization, governmentwide), limiting the development of such overlays on an organization-by-organization basis. Organizations can conduct criticality analyses as described in SA-14, to determine the information systems, system components, or information system services that require high-assurance solutions. Trustworthiness requirements and assurance overlays can be described in the security plans for organizational information systems.
Assessment Procedures
SA-13.1 - CCI-003225
The organization describes the trustworthiness required in the organization-defined information system, information system component, or information system service supporting its critical missions/business functions.
SA-13.2 - CCI-003226
The organization defines the information system, information system component, or information system service supporting its critical missions/business functions in which the trustworthiness must be described.
SA-13.3 - CCI-003227
The organization implements an organization-defined assurance overlay to achieve trustworthiness required to support its critical missions/business functions.
SA-13.4 - CCI-003228
The organization defines an assurance overlay to be implemented to achieve trustworthiness required to support its critical missions/business functions.
Related Controls
  1. RA-2 - Security Categorization
  2. SA-4 - Acquisition Process
  3. SA-8 - Security Engineering Principles
  4. SA-14 - Criticality Analysis
  5. SC-3 - Security Function Isolation
References
Enhancements
CRITICALITY ANALYSIS
RMF Control
SA-14
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
Requirements
The organization identifies critical information system components and functions by performing a criticality analysis for [Assignment: organization-defined information systems, information system components, or information system services] at [Assignment: organization-defined decision points in the system development life cycle].
Supplemental Guidance
Criticality analysis is a key tenet of supply chain risk management and informs the prioritization of supply chain protection activities such as attack surface reduction, use of all-source intelligence, and tailored acquisition strategies. Information system engineers can conduct an end-to-end functional decomposition of an information system to identify mission-critical functions and components. The functional decomposition includes the identification of core organizational missions supported by the system, decomposition into the specific functions to perform those missions, and traceability to the hardware, software, and firmware components that implement those functions, including when the functions are shared by many components within and beyond the information system boundary. Information system components that allow for unmediated access to critical components or functions are considered critical due to the inherent vulnerabilities such components create. Criticality is assessed in terms of the impact of the function or component failure on the ability of the component to complete the organizational missions supported by the information system. A criticality analysis is performed whenever an architecture or design is being developed or modified, including upgrades.
Assessment Procedures
SA-14.1 - CCI-003229
The organization identifies critical information system components by performing a criticality analysis for organization-defined information systems, information system components, or information system services at organization-defined decision points in the system development life cycle.
SA-14.2 - CCI-003230
The organization identifies critical information system functions by performing a criticality analysis for organization-defined information systems, information system components, or information system services at organization-defined decision points in the system development life cycle.
SA-14.3 - CCI-003231
The organization defines the information systems, information system components, or information system services for which the organization identifies critical information system components and functions for criticality analysis.
SA-14.4 - CCI-003232
The organization defines the decision points in the system development life cycle at which to perform a criticality analysis to identify critical information system components and functions for organization-defined information systems, information system components , or information system services.
Related Controls
  1. CP-2 - Contingency Plan
  2. PL-2 - System Security Plan
  3. PL-8 - Information Security Architecture
  4. PM-1 - Information Security Program Plan
  5. SA-8 - Security Engineering Principles
  6. SA-12 - Supply Chain Protection
  7. SA-13 - Trustworthiness
  8. SA-15 - Development Process, Standards, And Tools
  9. SA-20 - Customized Development Of Critical Components
Enhancements
SA-14 (1) - Critical Components With No Viable Alternative Sourcing
[Withdrawn: Incorporated into SA-20].
DEVELOPMENT PROCESS, STANDARDS, AND TOOLS
RMF Control
SA-15
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
HIGH
Requirements
The organization:
SA-15a.
Requires the developer of the information system, system component, or information system service to follow a documented development process that:
SA-15b.
Reviews the development process, standards, tools, and tool options/configurations [Assignment: organization-defined frequency] to determine if the process, standards, tools, and tool options/configurations selected and employed can satisfy [Assignment: organization-defined security requirements].
Supplemental Guidance
Development tools include, for example, programming languages and computer-aided design (CAD) systems. Reviews of development processes can include, for example, the use of maturity models to determine the potential effectiveness of such processes. Maintaining the integrity of changes to tools and processes enables accurate supply chain risk assessment and mitigation, and requires robust configuration control throughout the life cycle (including design, development, transport, delivery, integration, and maintenance) to track authorized changes and prevent unauthorized changes.
Assessment Procedures
SA-15.1 - CCI-003233
The organization requires the developer of the information system, system component, or information system service to follow a documented development process.
SA-15.2 - CCI-003234
The documented information system, system component, or information system service development process explicitly addresses security requirements.
SA-15.3 - CCI-003235
The documented information system, system component, or information system service development process identifies the standards used in the development process.
SA-15.4 - CCI-003236
The documented information system, system component, or information system service development process identifies the tools used in the development process.
SA-15.5 - CCI-003237
The documented information system, system component, or information system service development process documents the specific tool options and tool configurations used in the development process.
SA-15.6 - CCI-003238
The documented information system, system component, or information system service development process documents changes to the process and/or tools used in development.
SA-15.7 - CCI-003239
The documented information system, system component, or information system service development process manages changes to the process and/or tools used in development.
SA-15.8 - CCI-003240
The documented information system, system component, or information system service development process ensures the integrity of changes to the process and/or tools used in development.
SA-15.9 - CCI-003241
The organization reviews the development process in accordance with organization-defined frequency to determine if the development process selected and employed can satisfy organization-defined security requirements.
SA-15.10 - CCI-003242
The organization reviews the development standards in accordance with organization-defined frequency to determine if the development standards selected and employed can satisfy organization-defined security requirements.
SA-15.11 - CCI-003243
The organization reviews the development tools in accordance with organization-defined frequency to determine if the development tools selected and employed can satisfy organization-defined security requirements.
SA-15.12 - CCI-003244
The organization reviews the development tool options/configurations in accordance with organization-defined frequency to determine if the development tool options/configurations selected and employed can satisfy organization-defined security requirements.
SA-15.13 - CCI-003245
The organization defines the frequency on which to review the development process, standards, tools, and tool options/configurations to determine if the process, standards, tools, and tool options/configurations selected and employed can satisfy organization-defined security requirements.
SA-15.14 - CCI-003246
The organization defines the security requirements that must be satisfied by conducting a review of the development process, standards, tools, and tool options/configurations.
Related Controls
  1. SA-3 - System Development Life Cycle
  2. SA-8 - Security Engineering Principles
Enhancements
SA-15 (1) - Quality Metrics
The organization requires the developer of the information system, system component, or information system service to:
SA-15 (2) - Security Tracking Tools
The organization requires the developer of the information system, system component, or information system service to select and employ a security tracking tool for use during the development process.
SA-15 (3) - Criticality Analysis
The organization requires the developer of the information system, system component, or information 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].
SA-15 (4) - Threat Modeling / Vulnerability Analysis
The organization requires that developers perform threat modeling and a vulnerability analysis for the information system at [Assignment: organization-defined breadth/depth] that:
SA-15 (5) - Attack Surface Reduction
The organization requires the developer of the information system, system component, or information system service to reduce attack surfaces to [Assignment: organization-defined thresholds].
SA-15 (6) - Continuous Improvement
The organization requires the developer of the information system, system component, or information system service to implement an explicit process to continuously improve the development process.
SA-15 (7) - Automated Vulnerability Analysis
The organization requires the developer of the information system, system component, or information system service to:
SA-15 (8) - Reuse Of Threat / Vulnerability Information
The organization requires the developer of the information system, system component, or information system service to use threat modeling and vulnerability analyses from similar systems, components, or services to inform the current development process.
SA-15 (9) - Use Of Live Data
The organization approves, documents, and controls the use of live data in development and test environments for the information system, system component, or information system service.
SA-15 (10) - Incident Response Plan
The organization requires the developer of the information system, system component, or information system service to provide an incident response plan.
SA-15 (11) - Archive Information System / Component
The organization requires the developer of the information system or system component to archive the system or component to be released or delivered together with the corresponding evidence supporting the final security review.
DEVELOPER-PROVIDED TRAINING
RMF Control
SA-16
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
HIGH
Requirements
The organization requires the developer of the information system, system component, or information system service to provide [Assignment: organization-defined training] on the correct use and operation of the implemented security 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 security controls implemented within organizational information systems. Training options include, for example, classroom-style training, web-based/computer-based training, and hands-on training. Organizations can also request sufficient training materials from developers to conduct in-house training or offer self-training to organizational personnel. Organizations determine the type of training necessary and may require different types of training for different security functions, controls, or mechanisms.
Assessment Procedures
SA-16.1 - CCI-003291
The organization requires the developer of the information system, system component, or information system service to provide organization-defined training on the correct use and operation of the implemented security functions, controls, and/or mechanisms.
SA-16.2 - CCI-003292
The organization defines the training the developer of the information system, system component, or information system service is required to provide on the correct use and operation of the implemented security functions, controls, and/or mechanisms.
Related Controls
  1. AT-2 - Security Awareness Training
  2. AT-3 - Role-Based Security Training
  3. SA-5 - Information System Documentation
Enhancements
DEVELOPER SECURITY ARCHITECTURE AND DESIGN
RMF Control
SA-17
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
HIGH
Requirements
The organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture that:
SA-17a.
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;
SA-17b.
Accurately and completely describes the required security functionality, and the allocation of security controls among physical and logical components; and
SA-17c.
Expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.
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 help ensure that organizations develop an information security architecture and such security architecture is integrated or tightly coupled to the enterprise architecture. This distinction is important if/when organizations outsource the development of information systems, information system components, or information system services to external entities, and there is a requirement to demonstrate consistency with the organization�s enterprise architecture and information security architecture.
Assessment Procedures
SA-17.1 - CCI-003293
The organization requires the developer of the information system, system component, or information system service to produce a design specification and security architecture.
SA-17.2 - CCI-003294
The design specification and security architecture is consistent with and supportive of the organization's security architecture which is established within and is interrogated part of the organization's enterprise architecture.
SA-17.3 - CCI-003295
The design specification and security architecture accurately and completely describes the required security functionality
SA-17.4 - CCI-003296
The design specification and security architecture accurately and completely describes the allocation of security controls among physical and logical components.
SA-17.5 - CCI-003297
The design specification and security architecture expresses how individual security functions, mechanisms, and services work together to provide required security capabilities and a unified approach to protection.
Related Controls
  1. PL-8 - Information Security Architecture
  2. PM-7 - Enterprise Architecture
  3. SA-3 - System Development Life Cycle
  4. SA-8 - Security Engineering Principles
Enhancements
SA-17 (1) - Formal Policy Model
The organization requires the developer of the information system, system component, or information system service to:
SA-17 (2) - Security-Relevant Components
The organization requires the developer of the information system, system component, or information system service to:
SA-17 (3) - Formal Correspondence
The organization requires the developer of the information system, system component, or information system service to:
SA-17 (4) - Informal Correspondence
The organization requires the developer of the information system, system component, or information system service to:
SA-17 (5) - Conceptually Simple Design
The organization requires the developer of the information system, system component, or information system service to:
SA-17 (6) - Structure For Testing
The organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate testing.
SA-17 (7) - Structure For Least Privilege
The organization requires the developer of the information system, system component, or information system service to structure security-relevant hardware, software, and firmware to facilitate controlling access with least privilege.
TAMPER RESISTANCE AND DETECTION
RMF Control
SA-18
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
Requirements
The organization implements a tamper protection program for the information system, system component, or information system service.
Supplemental Guidance
Anti-tamper technologies and techniques provide a level of protection for critical information systems, system components, and information technology products against a number of related threats including modification, reverse engineering, and substitution. Strong identification combined with tamper resistance and/or tamper detection is essential to protecting information systems, components, and products during distribution and when in use.
Assessment Procedures
SA-18.1 - CCI-003346
The organization implements a tamper protection program for the information system, system component, or information system service.
Related Controls
  1. PE-3 - Physical Access Control
  2. SA-12 - Supply Chain Protection
  3. SI-7 - Software, Firmware, And Information Integrity
Enhancements
SA-18 (1) - Multiple Phases Of Sdlc
The organization employs anti-tamper technologies and techniques during multiple phases in the system development life cycle including design, development, integration, operations, and maintenance.
SA-18 (2) - Inspection Of Information Systems, Components, Or Devices
The organization inspects [Assignment: organization-defined information systems, system components, or devices] [Selection (one or more): at random; at [Assignment: organization-defined frequency], upon [Assignment: organization-defined indications of need for inspection]] to detect tampering.
COMPONENT AUTHENTICITY
RMF Control
SA-19
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
Requirements
The organization:
SA-19a.
Develops and implements anti-counterfeit policy and procedures that include the means to detect and prevent counterfeit components from entering the information system; and
SA-19b.
Reports counterfeit information 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.
Assessment Procedures
SA-19.1 - CCI-003356
The organization develops anti-counterfeit policy that include the means to detect counterfeit components from entering the information system.
SA-19.2 - CCI-003357
The organization develops anti-counterfeit policy that include the means to prevent counterfeit components from entering the information system.
SA-19.3 - CCI-003358
The organization develops anti-counterfeit procedures that include the means to detect counterfeit components from entering the information system.
SA-19.4 - CCI-003359
The organization develops anti-counterfeit procedures that include the means to prevent counterfeit components from entering the information system.
SA-19.5 - CCI-003360
The organization implements anti-counterfeit policy that include the means to detect counterfeit components from entering the information system.
SA-19.6 - CCI-003361
The organization implements anti-counterfeit policy that include the means to prevent counterfeit components from entering the information system.
SA-19.7 - CCI-003362
The organization implements anti-counterfeit procedures that include the means to detect counterfeit components from entering the information system.
SA-19.8 - CCI-003363
The organization implements anti-counterfeit procedures that include the means to prevent counterfeit components from entering the information system.
SA-19.9 - CCI-003364
The organization reports counterfeit information system components to source of counterfeit component, organization-defined external reporting organizations and/or organization-defined personnel or roles.
SA-19.10 - CCI-003365
The organization defines the external reporting organizations to whom counterfeit information system components are to be reported.
SA-19.11 - CCI-003366
The organization defines the personnel or roles to whom counterfeit information system components are to be reported.
Related Controls
  1. PE-3 - Physical Access Control
  2. SA-12 - Supply Chain Protection
  3. SI-7 - Software, Firmware, And Information Integrity
Enhancements
SA-19 (1) - Anti-Counterfeit Training
The organization trains [Assignment: organization-defined personnel or roles] to detect counterfeit information system components (including hardware, software, and firmware).
SA-19 (2) - Configuration Control For Component Service / Repair
The organization maintains configuration control over [Assignment: organization-defined information system components] awaiting service/repair and serviced/repaired components awaiting return to service.
SA-19 (3) - Component Disposal
The organization disposes of information system components using [Assignment: organization-defined techniques and methods].
SA-19 (4) - Anti-Counterfeit Scanning
The organization scans for counterfeit information system components [Assignment: organization-defined frequency].
CUSTOMIZED DEVELOPMENT OF CRITICAL COMPONENTS
RMF Control
SA-20
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
Requirements
The organization re-implements or custom develops [Assignment: organization-defined critical information system components].
Supplemental Guidance
Organizations determine that certain information system components likely cannot be trusted due to specific threats to and vulnerabilities in those components, and for which there are no viable security controls to adequately mitigate the resulting risk. Re-implementation or custom development of such components helps to satisfy requirements for higher assurance. This is accomplished by initiating changes to system components (including hardware, software, and firmware) such that the standard attacks by adversaries are less likely to succeed. In situations where no alternative sourcing is available and organizations choose not to re-implement or custom develop critical information system components, additional safeguards can be employed (e.g., enhanced auditing, restrictions on source code and system utility access, and protection from deletion of system and application files.
Assessment Procedures
SA-20.1 - CCI-003386
The organization defines the critical information system components to re-implement or custom develop.
SA-20.2 - CCI-003387
The organization re-implements or custom develops organization-defined critical information system components.
Related Controls
  1. CP-2 - Contingency Plan
  2. SA-8 - Security Engineering Principles
  3. SA-14 - Criticality Analysis
Enhancements
DEVELOPER SCREENING
RMF Control
SA-21
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
Requirements
The organization requires that the developer of [Assignment: organization-defined information system, system component, or information system service]:
SA-21a.
Have appropriate access authorizations as determined by assigned [Assignment: organization-defined official government duties]; and
SA-21b.
Satisfy [Assignment: organization-defined additional personnel screening criteria].
Supplemental Guidance
Because the information system, system component, or information system service may be employed in critical activities essential to the national and/or economic security interests of the United States, organizations have a strong interest in ensuring that the developer is trustworthy. The degree of trust required of the developer may need to be consistent with that of the individuals accessing the information system/component/service once deployed. Examples of authorization and personnel screening criteria include clearance, satisfactory background checks, citizenship, and nationality. Trustworthiness of developers may also include a review and analysis of company ownership and any relationships the company has with entities potentially affecting the quality/reliability of the systems, components, or services being developed.
Assessment Procedures
SA-21.1 - CCI-003384
The organization defines the information system, system component, or information system service which require the information system developer to have appropriate access authorizations and satisfy additional personnel screening criteria.
SA-21.2 - CCI-003383
The organization defines the official government duties to be assigned to the developer of organization-defined information system, system component, or information system service.
SA-21.3 - CCI-003385
The organization requires that the developer of organization-defined information system, system component, or information system service have appropriate access authorizations as determined by assigned organization-defined official government duties.
SA-21.5 - CCI-003382
The organization requires that the developer of organization-defined information system, system component, or information system service satisfy organization-defined additional personnel screening criteria.
SA-21.4 - CCI-003381
The organization defines additional personnel screening criteria that must be satisfied by the developer of organization-defined information system, system component, or information system service.
Related Controls
  1. PS-3 - Personnel Screening
  2. PS-7 - Third-Party Personnel Security
Enhancements
SA-21 (1) - Validation Of Screening
The organization requires the developer of the information system, system component, or information system service take [Assignment: organization-defined actions] to ensure that the required access authorizations and screening criteria are satisfied.
UNSUPPORTED SYSTEM COMPONENTS
RMF Control
SA-22
Subject Area
SYSTEM AND SERVICES ACQUISITION
Baseline Areas
Requirements
The organization:
SA-22a.
Replaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer; and
SA-22b.
Provides justification and documents approval for the continued use of unsupported system components required to satisfy mission/business needs.
Supplemental Guidance
Support for information system components includes, for example, software patches, firmware updates, replacement parts, and maintenance contracts. Unsupported components (e.g., when vendors are no longer providing critical software patches), provide a substantial opportunity for adversaries to exploit new weaknesses discovered in the currently installed components. Exceptions to replacing unsupported system components may include, for example, systems that provide critical mission/business capability where newer technologies are not available or where the systems are so isolated that installing replacement components is not an option.
Assessment Procedures
SA-22.2 - CCI-003374
The organization documents approval for the continued use of unsupported system components required to satisfy mission/business needs.
SA-22.3 - CCI-003375
The organization provides justification for the continued use of unsupported system components required to satisfy mission/business needs.
SA-22.1 - CCI-003376
The organization replaces information system components when support for the components is no longer available from the developer, vendor, or manufacturer.
Related Controls
  1. PL-2 - System Security Plan
  2. SA-3 - System Development Life Cycle
Enhancements
SA-22 (1) - Alternative Sources For Continued Support
The organization provides [Selection (one or more): in-house support; [Assignment: organization-defined support from external providers]] for unsupported information system components.
SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES
RMF Control
SC-1
Subject Area
SYSTEM AND COMMUNICATIONS PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The organization:
SC-1a.
Develops, documents, and disseminates to [Assignment: organization-defined personnel or roles]:
SC-1b.
Reviews and updates the current:
Supplemental Guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
Assessment Procedures
SC-1.2 - CCI-002380
The organization defines the personnel or roles to be recipients of the procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls.
SC-1.1 - CCI-002378
The organization defines the personnel or roles to be recipients of the system and communications protection policy.
SC-1.3 - CCI-001074
The organization develops and documents a system and communications protection policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance
SC-1.4 - CCI-001075
The organization disseminates to organization-defined personnel or roles the system and communications protection policy.
SC-1.5 - CCI-001078
The organization develops and documents system and communications protection procedures to facilitate the implementation of the system and communications protection policy and communications protection controls and associated system and communications protection controls.
SC-1.6 - CCI-001079
The organization disseminates to organization-defined personnel or roles the procedures to facilitate the implementation of the system and communications protection policy and associated system and communications protection controls.
SC-1.8 - CCI-001077
The organization defines the frequency for reviewing and updating the system and communications protection policy.
SC-1.7 - CCI-001076
The organization reviews and updates the system and communications protection policy in accordance with organization-defined frequency.
SC-1.10 - CCI-001081
The organization defines the frequency of system and communications protection procedure reviews and updates.
SC-1.9 - CCI-001080
The organization reviews and updates the system and communications protection procedures in accordance with organization-defined frequency.
Related Controls
  1. PM-9 - Risk Management Strategy
References
Enhancements
APPLICATION PARTITIONING
RMF Control
SC-2
Subject Area
SYSTEM AND COMMUNICATIONS PROTECTION
Baseline Areas
MODERATE, HIGH
Requirements
The information system separates user functionality (including user interface services) from information system management functionality.
Supplemental Guidance
Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical. Organizations implement separation of system management-related functionality from user functionality by using different computers, different central processing units, different instances of operating systems, different network addresses, virtualization techniques, or combinations of these or other methods, as appropriate. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other information system resources. Separation of system and user functionality may include isolating administrative interfaces on different domains and with additional access controls.
Assessment Procedures
SC-2.1 - CCI-001082
The information system separates user functionality (including user interface services) from information system management functionality.
Related Controls
  1. SA-4 - Acquisition Process
  2. SA-8 - Security Engineering Principles
  3. SC-3 - Security Function Isolation
Enhancements
SC-2 (1) - Interfaces For Non-Privileged Users
The information system prevents the presentation of information system management-related functionality at an interface for non-privileged users.
SECURITY FUNCTION ISOLATION
RMF Control
SC-3
Subject Area
SYSTEM AND COMMUNICATIONS PROTECTION
Baseline Areas
HIGH
Requirements
The information system isolates security functions from nonsecurity functions.
Supplemental Guidance
The information system isolates security functions from nonsecurity functions by means of an isolation boundary (implemented via partitions and domains). Such isolation controls access to and protects the integrity of the hardware, software, and firmware that perform those security functions. Information systems implement code separation (i.e., separation of security functions from nonsecurity functions) in a number of ways, including, for example, through the provision of security kernels via processor rings or processor modes. For non-kernel code, security function isolation is often achieved through file system protections that serve to protect the code on disk, and address space protections that protect executing code. Information systems restrict access to security functions through the use of access control mechanisms and by implementing least privilege capabilities. While the ideal is for all of the code within the security function isolation boundary to only contain security-relevant code, it is sometimes necessary to include nonsecurity functions within the isolation boundary as an exception.
Assessment Procedures
SC-3.1 - CCI-001084
The information system isolates security functions from nonsecurity functions.
Related Controls
  1. AC-3 - Access Enforcement
  2. AC-6 - Least Privilege
  3. SA-4 - Acquisition Process
  4. SA-5 - Information System Documentation
  5. SA-8 - Security Engineering Principles
  6. SA-13 - Trustworthiness
  7. SC-2 - Application Partitioning
  8. SC-7 - Boundary Protection
  9. SC-39 - Process Isolation
Enhancements
SC-3 (1) - Hardware Separation
The information system utilizes underlying hardware separation mechanisms to implement security function isolation.
SC-3 (2) - Access / Flow Control Functions
The information system isolates security functions enforcing access and information flow control from nonsecurity functions and from other security functions.
SC-3 (3) - Minimize Nonsecurity Functionality
The organization minimizes the number of nonsecurity functions included within the isolation boundary containing security functions.
SC-3 (4) - Module Coupling And Cohesiveness
The organization implements security functions as largely independent modules that maximize internal cohesiveness within modules and minimize coupling between modules.
SC-3 (5) - Layered Structures
The organization implements security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers.
INFORMATION IN SHARED RESOURCES
RMF Control
SC-4
Subject Area
SYSTEM AND COMMUNICATIONS PROTECTION
Baseline Areas
MODERATE, HIGH
Requirements
The information system prevents unauthorized and unintended information transfer via shared system resources.
Supplemental Guidance
This control prevents information, including encrypted representations of information, produced by the actions of prior users/roles (or the actions of processes acting on behalf of prior users/roles) from being available to any current users/roles (or current processes) that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those resources have been released back to information systems. The control of information in shared resources is also commonly referred to as object reuse and residual information protection. This control does not address: (i) information remanence which refers to residual representation of data that has been nominally erased or removed; (ii) covert channels (including storage and/or timing channels) where shared resources are manipulated to violate information flow restrictions; or (iii) components within information systems for which there are only single users/roles.
Assessment Procedures
SC-4.1 - CCI-001090
The information system prevents unauthorized and unintended information transfer via shared system resources.
Related Controls
  1. AC-3 - Access Enforcement
  2. AC-4 - Information Flow Enforcement
  3. MP-6 - Media Sanitization
Enhancements
SC-4 (1) - Security Levels
[Withdrawn: Incorporated into SC-4].
SC-4 (2) - Periods Processing
The information system prevents unauthorized information transfer via shared resources in accordance with [Assignment: organization-defined procedures] when system processing explicitly switches between different information classification levels or security categories.
DENIAL OF SERVICE PROTECTION
RMF Control
SC-5
Subject Area
SYSTEM AND COMMUNICATIONS PROTECTION
Baseline Areas
LOW, MODERATE, HIGH
Requirements
The information system protects against or limits the effects of the following types of denial of service attacks: [Assignment: organization-defined types of denial of service attacks or references to sources for such information] by employing [Assignment: organization-defined security safeguards].
Supplemental Guidance
A variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect information system components on internal organizational networks from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may also reduce the susceptibility to denial of service attacks.
Assessment Procedures
SC-5.1 - CCI-001093
The organization defines the types of denial of service attacks (or provides references to sources of current denial of service attacks) that can be addressed by the information system.
SC-5.3 - CCI-002386
The organization defines the security safeguards to be employed to protect the information system against, or limit the effects of, denial of service attacks.
SC-5.2 - CCI-002385
The information system protects against or limits the effects of organization-defined types of denial of service attacks by employing organization-defined security safeguards.
Related Controls
  1. SC-6 - Resource Availability
  2. SC-7 - Boundary Protection
Enhancements
SC-5 (1) - Restrict Internal Users
The information system restricts the ability of individuals to launch [Assignment: organization-defined denial of service attacks] against other information systems.
SC-5 (2) - Excess Capacity / Bandwidth / Redundancy
The information system manages excess capacity, bandwidth, or other redundancy to limit the effects of information flooding denial of service attacks.
SC-5 (3) - Detection / Monitoring
The organization:
RESOURCE AVAILABILITY
RMF Control